Kevin Smith has been an investment adviser representative at Discipline Wealth Solutions since January 2026, and is not listed among the firm’s executive officers or direct owners.
Discipline Wealth Solutions, Inc. is a Greenville, SC firm with $747M under management, 1,946 clients and 18 advisers across 13 offices, as of its September 2026 filing.
Kevin Smith’s longest registration was 6 years at Securities America Advisors, Inc. (2018–2024). Before joining Discipline Wealth Solutions in 2026, Kevin Smith was registered through Osaic Wealth, Inc. and Securities America Advisors, Inc.
- – present · under a yearHixson, TN · Adviser representative · Firm CRD 315846
- Osaic Wealth, Inc.– · 1 yearHixson, TN · Adviser representative · Firm CRD 23131
- Securities America Advisors, Inc.– · 6 yearsHixson, TN · Adviser representative · Firm CRD 110518
- Axa Advisors, LLC– · 3 yearsOak Brook, IL · Adviser representative · Firm CRD 6627
- UBS Financial Services Inc.– · 1 yearChicago, IL · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Kevin Smith is registered as an investment adviser representative in Tennessee, since January 2026.
- TennesseeSince 23 January 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 3 May 2018 |
| Series 7 | General Securities Representative Examination | 2 July 2008 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kevin James Smith
- CRD
- 5452226
- Firm
- Discipline Wealth Solutions · CRD 315846
- Office
- Hixson, TN
- Registration
- Investment adviser registration
- In the industry since
- November 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Kevin Smith work?
Kevin Smith is an investment adviser representative registered through Discipline Wealth Solutions, Inc. since January 2026, and is not listed among the firm’s executive officers or direct owners.
Is Kevin Smith a financial advisor?
Yes. Kevin Smith has a current investment-adviser registration in Tennessee, through Discipline Wealth Solutions since January 2026.
How many years of experience does Kevin Smith have?
Kevin Smith has 16 years in the financial industry, since November 2009, across 5 adviser firms.
What exams has Kevin Smith passed?
Kevin Smith has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in July 2008. FINRA credited Kevin Smith with the SIE, which began in October 2018.
Where did Kevin Smith work before Discipline Wealth Solutions?
Before Discipline Wealth Solutions, Kevin Smith was registered through Securities America Advisors, Inc., March 2018 to June 2024; Axa Advisors, LLC, June 2011 to January 2015; UBS Financial Services Inc., September 2008 to March 2010.
Where is Kevin Smith based?
Kevin Smith’s registered office is in Hixson, TN.
Is Kevin Smith registered with FINRA?
No. Kevin Smith has no current broker registration.
How can I verify Kevin Smith’s record?
Search CRD 5452226 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kevin Smith’s full registration record.