Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roderic? Claim Your ProfileRoderic Lamarr Smith, SR has been in the financial services industry since February 10, 1989. Roderic is currently registered with Raymond James Financial Services Advisors, Inc. and has been with the firm since January 2020. Previously, Roderic worked at WELLS FARGO CLEARING SERVICES, LLC. Roderic has a total of 27 state securities registrations and 2 state investment advisor registrations. Roderic has a wide range of experience and qualifications, holding Series 6, 7, 26 and 66 securities licenses and the SIE exam. Roderic has also been recognized for their expertise and commitment to providing clients with personalized financial advice.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
CA
01/17/2020 - Present
Raymond James Financial Services Advisors, Inc. (Newport Beach CA)
CA
04/17/2012 - 01/22/2020
WELLS FARGO CLEARING SERVICES, LLC (IRVINE CA)
CA
05/10/1995 - 04/26/2012
LINCOLN FINANCIAL SECURITIES CORPORATION (RIVERSIDE CA)
NJ
01/20/1989 - 04/17/1995
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
01/20/1989 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 04/16/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/2001
Series 7 - General Securities Representative Examination
BC
Issued 01/19/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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