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RIA / WealthAdvisor44 years in industry

RALPH EDWARD SMITH

Advisor at NAUTICAL STAR FINANCIAL GROUP LLC

Weatherford, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 8, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NAUTICAL STAR FINANCIAL GROUP LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 26, 1982earliest registration or exam on IAPD
Years in industry: 44derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63
First exam: Feb 26, 1982
First registration: May 8, 2006
Dual registered: no
IAPD individual key: 1034694

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NAUTICAL STAR FINANCIAL GROUP LLC	State registered	Jan 2, 2024	n/a	yes	Weatherford, TX	Current employment
SMITH CAPITAL MANAGEMENT	n/a	Jan 2, 2014	Dec 31, 2023	no	WEATHERFORD, TX	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Dec 7, 2012	Dec 31, 2013	no	FORT WORTH, TX	Previous registration
INVESTORS SECURITY COMPANY, INC.	Former SEC adviser	Nov 2, 2009	Dec 7, 2012	no	SUFFOLK, VA\|FORT WORTH, TX\|SUFFOLK, VA\|FORT WORTH, TX\|SUFFOLK, VA	Previous registration
QA3 FINANCIAL LLC	n/a	Jul 7, 2008	Oct 26, 2009	no	FORT WORTH, TX\|OMAHA, NE	Previous registration
SPECTRUM FINANCIAL INC	Other adviser	Oct 10, 2007	Nov 11, 2009	no	VIRGINIA BEACH, VA	Previous registration
LIBERTY CAPITAL MANAGEMENT	n/a	May 8, 2006	Dec 31, 2006	no	FORT WORTH, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SMITH CAPITAL MANAGEMENT	NAUTICAL STAR FINANCIAL GROUP LLC	Dec 31, 2023	Jan 2, 2024	2	Firm change	Other
SECURITIES AMERICA ADVISORS, INC.	SMITH CAPITAL MANAGEMENT	Dec 31, 2013	Jan 2, 2014	2	Firm change	Other
INVESTORS SECURITY COMPANY, INC.	SECURITIES AMERICA ADVISORS, INC.	Dec 7, 2012	Dec 7, 2012	0	Firm change	Other
SPECTRUM FINANCIAL INC	QA3 FINANCIAL LLC	Nov 11, 2009	Jul 7, 2008	-492	Firm change after gap	Other
QA3 FINANCIAL LLC	INVESTORS SECURITY COMPANY, INC.	Oct 26, 2009	Nov 2, 2009	7	Firm change	Other
LIBERTY CAPITAL MANAGEMENT	SPECTRUM FINANCIAL INC	Dec 31, 2006	Oct 10, 2007	283	Firm change	Other

Relationships

Registered with (7)

→ NAUTICAL STAR FINANCIAL GROUP LLCRegistered adviserregistration: current employment
Jan 2, 2024 to presentfactForm ADV
→ SMITH CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
Jan 2, 2014 to Dec 31, 2023factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Dec 7, 2012 to Dec 31, 2013factForm ADV
→ INVESTORS SECURITY COMPANY, INC.Registered adviserregistration: previous registration
Nov 2, 2009 to Dec 7, 2012factForm ADV
→ SPECTRUM FINANCIAL INCRegistered adviserregistration: previous registration
Oct 10, 2007 to Nov 11, 2009factForm ADV
→ QA3 FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 7, 2008 to Oct 26, 2009factForm ADV
→ LIBERTY CAPITAL MANAGEMENTRegistered adviserregistration: previous registration
May 8, 2006 to Dec 31, 2006factForm ADV

Dated events

Occurred
Dec 31, 2023
Advisor changed firm
Ralph Edward Smith left Smith Capital Management for Nautical Star Financial Group Llc (registered 2024-01-02)
Form ADVobserved 4 days ago