Administrative & Operational Support
Smith Moore’s structure is designed to fully support financial advisors as they grow their businesses. We support your efforts with some of the best resources in the industry. You get the opportunity to manage an independent practice—and we’ll back you as your trusted partner at every turn.
Experience the Service Difference
Smith Moore dedicates highly qualified staff and significant resources to serve its Financial Advisors and their clients. Our client support team is committed to helping you meet your needs.
Seasoned Operations Professionals
Our seasoned Operations professionals have an average of over 20 years of financial services industry experience. They have extensive industry knowledge and understand the importance of delivering fast, accurate and friendly service.
We strive to help new Financial Advisors who come to Smith Moore by making the transfer as seamless as possible. We’ll develop a detailed transition plan, customized specifically for your practice and guide you through the process. You will also receive comprehensive training for our systems and tools.
RBC Correspondent Services
To promote efficiencies and to better serve our clients, Smith Moore has a contractual agreement with RBC Correspondent Services, a division of RBC Capital Markets, LLC Member NYSE/FINRA/SIPC (RBC CS) as our clearing firm. In an economy in which self-clearing firms have become rare, we have carefully chosen RBC CS to administer clearing transactions for our clients. RBC Capital Markets, LLC is a wholly owned subsidiary of Royal Bank of Canada (RBC). RBC is a global leader in diversified financial services.
Clients get the peace of mind in knowing that RBC complies with Securities and Exchange Commission requirements to maintain certain capital requirements, as well as to keep client assets separated from our assets and the assets of others (unless they have signed with a margin agreement).
Through our affiliation with RBC Correspondent Services, our clients have access to products and services that allow investment flexibility These products and services include:
- An Investment Access® Account that provides unlimited check writing, a Visa Gold® Debit Card, electronic access for direct deposits, withdrawals and systematic investments, and convenient borrowing through marginable securities.
- Fee-based options that provide access to professional money managers, numerous mutual fund investments in one easy-to-manage account, and an account that can contain stocks, mutual funds and other investments.
- Retirement plan accounts that range from individual plans (traditional and Roth IRAs) to business retirement plans, such as 401(k) and SIMPLE plans.
- Fixed-income products, including government, municipal, corporate and mortgaged-backed securities.
- Thousands of mutual funds from the country’s most prominent mutual fund families.
- Comprehensive account statements with easy-to-read trade confirmations.
- An online tool for 24/7 access to client accounts that provides brokerage information, a daily market summary, company and mutual fund profiles, headline news, “most actives” on the market, quick charts, quotes — all the things needed to keep today’s investor up to date.
RBC is one of North America’s leading diversified financial services firms. Collectively they provide personal and commercial banking, wealth management services, insurance, corporate and investment banking, and transaction processing services worldwide. RBC serves more than 16 million personal, business, public sector and institutional clients worldwide.
RBC’s core values and culture of integrity have earned it a worldwide reputation for fiscal reliability and financial strength.