Craig Smith has been President/Treasurer/Chief Compliance Officer of Sycamore Financial Group since August 1983, is a control person of the firm and directly owns 75% or more of it.
Sycamore Financial Group, Inc. is a Kokomo, IN firm with $787M under management, 1,146 clients and 4 advisers across 3 offices, as of its March 2026 filing.
- Sycamore Financial GroupCurrent– present · 27 yearsKokomo, IN · Adviser representative · Firm CRD 14143
Investment adviser representative registrations
Craig Smith is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from December 1998; the most recent is Texas, in November 2019.
- IndianaSince 16 December 1998
- TexasResidentSince 19 November 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 17 January 1985 |
| Series 27 | Financial and Operations Principal Examination | 15 October 1983 |
| Series 24 | General Securities Principal Examination | 22 September 1983 |
| Series 53 | Municipal Securities Principal Examination | 12 September 1983 |
| Series 5 | Interest Rate Options Examination | 12 December 1981 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 April 1981 |
| Series 7 | General Securities Representative Examination | 19 July 1975 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- Interest Rate Options Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Craig Allen Smith
- CRD
- 810191
- Firm
- Sycamore Financial Group · CRD 14143
- Role
- President/Treasurer/Chief Compliance Officer
- Office
- 2713 ROCKFORD LANE, Kokomo, IN 46902-4058
- Registration
- Investment adviser and broker registrations
- In the industry since
- August 1975
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Craig Smith work?
Craig Smith has been President/Treasurer/Chief Compliance Officer of Sycamore Financial Group, Inc. since August 1983, and is a control person of the firm.
Is Craig Smith a financial advisor?
Yes. Craig Smith has a current investment-adviser registration in Indiana and Texas, through Sycamore Financial Group since December 1998.
How many years of experience does Craig Smith have?
Craig Smith has 51 years in the financial industry, since August 1975, across 1 adviser firm.
What exams has Craig Smith passed?
Craig Smith has passed 10 licensing exams: the Series 7, Series 63, Series 5, Series 53, Series 24, Series 27, Series 4, Series 14, Series 99TO and Series 52TO. The earliest, the Series 7, was passed in July 1975. FINRA credited Craig Smith with the SIE, which began in October 2018.
Where is Craig Smith based?
Craig Smith’s registered office is in Kokomo, IN.
Is Craig Smith registered with FINRA?
Yes. Craig Smith has a current broker registration, under CRD 810191.
Source: FINRA BrokerCheck
How can I verify Craig Smith’s record?
Search CRD 810191 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Craig Smith’s full registration record.
- Anita FaulknerVice President/Secretary
- Phillip F SmithNon-Registered Owner
- Alec F SmithNon-Registered Owner