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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)40 years in industry

ROBERT DUDLEY SMITH

Advisor at RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Birmingham, AL

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Search this name across graphsid dfx:ria:fe3a1341-257c-b331-dc4c-be044d41f18f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jun 12, 2002 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: RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 23, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Jul 23, 1986
First registration: Jun 12, 2002
Dual registered: yes, broker-dealer
Other names: BOB SMITH
IAPD individual key: 1321602

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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jul 13, 2021	n/a	yes	Birmingham, AL	Current employment
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Apr 29, 2015	Jul 13, 2021	no	BIRMINGHAM, AL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 11, 2013	Mar 25, 2015	no	BIRMINGHAM, AL\|HOMEWOOD, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|PINSON, AL	Previous registration
PNC MANAGED ACCOUNT SOLUTIONS, INC.	Former SEC adviser	Oct 15, 2010	Feb 11, 2013	no	HOUSTON, TX	Previous registration
ST JOHNS WEALTH MANAGEMENT	n/a	Jul 7, 2010	Oct 15, 2010	no	BIRMINGHAM, AL	Previous registration
BBVA COMPASS INVESTMENT SOLUTIONS, INC	n/a	Jun 12, 2002	Mar 17, 2010	no	HOMEWOOD, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL\|BIRMINGHAM, AL	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
PNC MANAGED ACCOUNT SOLUTIONS, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jul 13, 2021	Jul 13, 2021	0	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Mar 25, 2015	Apr 29, 2015	35	Firm change	Other
PNC MANAGED ACCOUNT SOLUTIONS, INC.	WELLS FARGO ADVISORS	Feb 11, 2013	Feb 11, 2013	0	Firm change	Other
ST JOHNS WEALTH MANAGEMENT	PNC MANAGED ACCOUNT SOLUTIONS, INC.	Oct 15, 2010	Oct 15, 2010	0	Bulk transfer	Other
BBVA COMPASS INVESTMENT SOLUTIONS, INC	ST JOHNS WEALTH MANAGEMENT	Mar 17, 2010	Jul 7, 2010	112	Bulk transfer	Other

Relationships

Registered with (5)

→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: current employment
Jul 13, 2021 to presentfactForm ADV
→ PNC MANAGED ACCOUNT SOLUTIONS, INC.Registered adviserregistration: previous registration
Apr 29, 2015 to Jul 13, 2021factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 11, 2013 to Mar 25, 2015factForm ADV
→ ST JOHNS WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 7, 2010 to Oct 15, 2010factForm ADV
→ BBVA COMPASS INVESTMENT SOLUTIONS, INCRegistered adviserregistration: previous registration
Jun 12, 2002 to Mar 17, 2010factForm ADV

Dated events

No dated event names this entity yet.