linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Lisa Denise Smith

Thoroughbred Financial Services, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Lisa? Claim Your Profile

About Lisa Denise Smith

Lisa Denise Smith is a financial professional based in Brentwood, TN. Lisa has been active in the financial services industry since August 3, 2001. Lisa is currently registered with Thoroughbred Financial Services, LLC, where Lisa has worked since April 30, 2010. Prior to that, Lisa was also employed with the firm from April 1, 2000 to May 8, 2008. Lisa previously worked with Advanced Financial Planning Securities Corporation from August 14, 1999 to April 1, 2000. Lisa holds the Series 63, Series 7 and SIE licenses.

Firm Information

Lisa Smith is currently registered with Thoroughbred Financial Services, LLC. Thoroughbred Financial Services, LLC is an investment advisor headquartered in Brentwood, TN, with a history dating back to 1999. They serve a diverse clientele including individuals, corporations, businesses, and pension plans. They are registered with the SEC and 45 state regulators and offer a comprehensive range of services, including financial planning, portfolio management, and selection of other advisors. Thoroughbred manages over $2.9 billion in assets for over 6,300 client accounts and offers a wrap fee program.
Thoroughbred Financial Services, LLC

5110 MARYLAND WAY, SUITE 300

BRENTWOOD, TN 37027-7508

$2.91B

Assets Under Management

Not reported

Total Clients

42

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Lisa Smith’s Registration & Firm History

TN

04/30/2010 - Present

Thoroughbred Financial Services, LLC (BRENTWOOD TN)

TN

04/01/2000 - 05/08/2008

THOROUGHBRED FINANCIAL SERVICES, LLC (BRENTWOOD TN)

TN

08/14/1999 - 04/01/2000

ADVANCED FINANCIAL PLANNING SECURITIES CORPORATION (BRENTWOOD TN)

Not sure if Lisa Denise Smith is right for you?

Licenses & Designations

BC

Issued 08/02/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/10/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Lisa Denise Smith.
Not sure if Lisa Denise Smith is right for you?