Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Michael Smith is a financial advisor with LPL Financial LLC. Thomas has been in the industry since 2001 and has a wide range of experience in the financial services industry. Thomas has held previous positions with various firms including Waddell & Reed, First Allied Securities, Inc., and Private Client Services, LLC. Thomas has also been a registered representative with the Financial Industry Regulatory Authority (FINRA) since 2001.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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KY
09/28/2018 - Present
LPL Financial LLC (LOUISVILLE KY)
IN
10/12/2015 - 10/04/2018
WADDELL & REED (INDIANAPOLIS IN)
KY
01/22/2015 - 10/13/2015
PRIVATE CLIENT SERVICES, LLC (LOUISVILLE KY)
KY
01/21/2014 - 02/02/2015
FIRST ALLIED SECURITIES, INC. (LOUISVILLE KY)
KY
07/18/2012 - 01/24/2014
PRIVATE CLIENT SERVICES, LLC (LOUISVILLE KY)
KY
03/12/2009 - 07/23/2012
MML INVESTORS SERVICES, LLC (LOUISVILLE KY)
KY
08/12/2002 - 03/09/2009
METLIFE SECURITIES INC. (LOUISVILLE KY)
KY
08/12/2002 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (LOUISVILLE KY)
OH
04/10/2002 - 07/09/2002
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
NY
03/05/2001 - 12/14/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
MN
01/24/2001 - 02/12/2001
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/24/2001 - 02/12/2001
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/19/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/15/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 01/23/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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