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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Curts Smith is a financial advisor with over 30 years of experience in the industry. Thomas has a broad range of experience in financial planning, investment management, and retirement planning. Thomas is currently registered with RBC Capital Markets, LLC. Previously, Thomas worked with PURSHE KAPLAN STERLING INVESTMENTS, NFP SECURITIES, INC., and VERAVEST INVESTMENTS, INC. Thomas holds several licenses and designations, including Series 6, 7, 9, 10, 24, 31, 63, and 65. Thomas is also a Certified Financial Planner. Thomas is dedicated to providing personalized financial advice and guidance to individuals, families, and businesses.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
TX
03/08/2024 - Present
RBC Capital Markets, LLC (TYLER TX)
TX
06/15/2012 - 12/31/2013
PURSHE KAPLAN STERLING INVESTMENTS (TYLER TX)
TX
05/13/2003 - 06/22/2012
NFP SECURITIES, INC. (TYLER TX)
MA
10/05/1992 - 05/29/2003
VERAVEST INVESTMENTS, INC. (WORCESTER MA)
IA
Issued 11/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/28/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/27/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/17/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2014
Series 31 - Futures Managed Funds Examination
BC
Issued 11/04/1998
Series 7 - General Securities Representative Examination
BC
Issued 10/02/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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