Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ross? Claim Your ProfileRoss Alan Smith is a financial advisor with Commonwealth Financial Network and has been working in the financial services industry since February 19, 1989. Ross is registered to provide investment advice in Wisconsin and has passed the Series 63, Series 7 and SIE exams. Ross has also held previous positions with Fortis Investors, Inc., Royal Alliance Associates, Inc., Integrated Resources Equity Corporation and Oberweis Securities, Inc. Ross provides financial planning and investment management services to a variety of clients, including individuals, high-net-worth individuals, businesses, corporations, pension plans and charitable organizations.
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.
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.
1
2
WI
03/14/1997 - Present
Commonwealth Financial Network (MINERAL POINT WI)
MN
02/03/1993 - 03/12/1997
FORTIS INVESTORS, INC. (OAKDALE MN)
AZ
11/19/1989 - 04/09/1991
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
11/20/1989 - 12/11/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
12/11/1987 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
04/27/1987 - 03/09/1988
OBERWEIS SECURITIES, INC.
BC
Issued 07/24/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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