Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rix? Claim Your ProfileRix Carlton Smith is a financial advisor with over 40 years of experience in the industry. Rix is currently registered with Dominion Portfolio Management, Inc. and GQO Investment Advisors, Inc.. Rix specializes in providing financial planning and portfolio management services for individuals. Rix's focus is on serving high-net-worth individuals as well as individuals other than high-net-worth. Rix has held previous roles with T.L. REED SECURITIES, INC., UNDERWOOD, NEUHAUS & CO., INCORPORATED, and THOMSON MCKINNON SECURITIES INC.. Rix holds Series 4, 7, 24, 52TO, 53, 63, 65, 99TO, and SIE licenses. Rix is also a president of Dominion Financial Services, Inc. and GQO Investment Advisors, Inc.. Rix is a Vice-President and Board member of the Channel View Condominiums in Port Aransas, Texas. Rix is also a partner in Deborah Marie and Company, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
1
2
TX
03/06/1996 - Present
Dominion Portfolio Management, Inc. (Marble Falls TX)
NA
01/13/1989 - 12/31/1990
T.L. REED SECURITIES, INC.
NA
08/21/1985 - 01/04/1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
NA
10/01/1982 - 08/22/1985
THOMSON MCKINNON SECURITIES INC.
NA
08/26/1982 - 02/12/1985
SCHNEIDER, BERNET & HICKMAN, INC.
IA
Issued 09/17/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/21/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/16/1999
Series 4 - Registered Options Principal Examination
BC
Issued 08/18/1993
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/02/1992
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/21/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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