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Thomas Patrick Smith

Legacy Wealth Management, LLC

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About Thomas Patrick Smith

Thomas Patrick Smith is a financial advisor with Legacy Wealth Management, LLC based in Southlake, TX. Thomas has over 20 years of experience in the financial services industry. Thomas is a registered representative in Texas. His primary focus is providing financial advice and portfolio management services to individuals and families.

Firm Information

Thomas Smith is currently registered with Legacy Wealth Management, LLC. Legacy Wealth Management, LLC is an investment advisor registered with the SEC. Located in Boise, Idaho, the firm has 11 licensed agents, 23 investment advisor representatives, and 16 investment advisory functions. They manage over $373 million in assets for 3,537 clients, primarily high-net-worth individuals, individuals other than high-net-worth, and pension and profit-sharing plans. They offer a range of advisory services including financial planning, portfolio management for individuals, and selection of other advisors.
Legacy Wealth Management, LLC

13965 W. CHINDEN BLVD.

BOISE, ID 83713

$373.21M

Assets Under Management

Not reported

Total Clients

26

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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advisory consulting

Advisory consulting

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

TX

05/23/2024 - Present

Legacy Wealth Management, LLC (Southlake TX)

TX

11/02/2022 - 05/23/2024

REALTA EQUITIES, INC. (SOUTHLAKE TX)

TX

05/31/2016 - 08/31/2022

CENTER STREET SECURITIES, INC. (SOUTHLAKE TX)

TX

08/09/2011 - 06/03/2016

TITAN SECURITIES (ARLINGTON TX)

TX

06/29/2010 - 08/05/2011

NEWBRIDGE SECURITIES CORPORATION (BEDFORD TX)

MI

08/22/2000 - 11/13/2001

SIGMA FINANCIAL CORPORATION (ANN ARBOR MI)

AZ

07/19/2000 - 07/27/2000

AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)

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Licenses & Designations

BOTH

Issued 06/13/2011

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/01/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/27/2010

Series 7 - General Securities Representative Examination

BC

Issued 07/18/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There is public disclosure for Thomas Patrick Smith. Review regulatory record here.
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