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Thomas Newton Smith

Valic Financial Advisors, Inc.

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About Thomas Newton Smith

Thomas Newton Smith is an individual advisor with Valic Financial Advisors, Inc., based in Macon, GA. Thomas has been in the financial services industry since 1992. He has been registered with the state of Georgia since 2008. Thomas is licensed to provide investment advice in Alabama, Colorado, Florida, Georgia, Minnesota, Mississippi, Montana, and South Carolina. Thomas is experienced with providing financial advice to high-net-worth individuals, individuals other than high-net-worth individuals, and corporations or other businesses.

Firm Information

Thomas Smith is currently registered with Valic Financial Advisors, Inc.. Valic Financial Advisors, Inc. is a corporation formed in November 1996, headquartered in Houston, Texas. The firm offers financial planning, portfolio management for individuals, and selection of other advisers, among other services. They also have a wrap fee program and manage assets for both high-net-worth individuals and individuals other than high-net-worth. The firm is registered with the SEC and has a total of 52 state registrations. As of the most recent reporting period, the firm reported approximately $25.25 billion in regulatory assets under management.
Valic Financial Advisors, Inc.

2929 ALLEN PKWY; L7-20

HOUSTON, TX 77019

$25.25B

Assets Under Management

12

Total Clients

1,266

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.

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financial planning services

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

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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recommend wrap accounts to clients

Recommend wrap accounts to clients

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.

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fixed fees

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

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percentage of assets

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

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Thomas Smith’s Registration & Firm History

GA

08/10/2020 - Present

Valic Financial Advisors, Inc. (MACON GA)

GA

06/21/1999 - 10/03/2008

AMERIPRISE FINANCIAL SERVICES, INC. (MILLEDGEVILLE GA)

MN

06/21/1999 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

GA

08/03/1992 - 04/22/1999

PFS INVESTMENTS INC. (DULUTH GA)

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Licenses & Designations

BOTH

Issued 01/30/2009

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/04/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/30/1996

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1999

Series 7 - General Securities Representative Examination

BC

Issued 07/31/1992

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Thomas Newton Smith. Review regulatory record here.
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