Lukas Smith has been an investment adviser representative at SageGuard Financial Group since December 2022, and is not listed among the firm’s executive officers or direct owners.
Sageguard Financial Group, LLC is a Goodlettsville, TN firm with $756M under management, 2,469 clients and 14 advisers across 4 offices, as of its July 2026 filing.
Lukas Smith’s longest registration was 5 years at Sageguard Financial Group, LLC (2016–2021). Before joining SageGuard Financial Group in 2022, Lukas Smith was registered through Alphastar Capital Management, LLC and UBS Financial Services Inc.
- – present · 3 yearsGoodlettsville, TN · Adviser representative · Firm CRD 160266
- Alphastar Capital Management, LLC– · 1 yearGoodlettsville, TN · Adviser representative · Firm CRD 157423
- – · 5 yearsGoodlettsville, TN · Adviser representative · Firm CRD 160266
- UBS Financial Services Inc.– · 1 yearNashville, TN · Adviser representative · Firm CRD 8174
- Axa Advisors, LLC– · 1 yearFranklin, TN · Adviser representative · Firm CRD 6627
Investment adviser representative registrations
Lukas Smith is registered as an investment adviser representative in Tennessee, since December 2022.
- TennesseeSince 21 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 9 September 2011 |
| Series 7 | General Securities Representative Examination | 18 August 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Lukas Ray Smith
- CRD
- 5795552
- Firm
- SageGuard Financial Group · CRD 160266
- Office
- 3066 BUSINESS PARK CIRCLE, Goodlettsville, TN 37072
- Registration
- Investment adviser registration
- In the industry since
- March 2013
- Disciplinary history
- Not yet shown here · SEC record
Where does Lukas Smith work?
Lukas Smith is an investment adviser representative registered through Sageguard Financial Group, LLC since December 2022, and is not listed among the firm’s executive officers or direct owners.
Is Lukas Smith a financial advisor?
Yes. Lukas Smith has a current investment-adviser registration in Tennessee, through SageGuard Financial Group since December 2022.
How many years of experience does Lukas Smith have?
Lukas Smith has 13 years in the financial industry, since March 2013, across 4 adviser firms.
What exams has Lukas Smith passed?
Lukas Smith has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in August 2011. FINRA credited Lukas Smith with the SIE, which began in October 2018.
Where did Lukas Smith work before SageGuard Financial Group?
Before SageGuard Financial Group, Lukas Smith was registered through UBS Financial Services Inc., October 2014 to September 2016; Axa Advisors, LLC, September 2011 to April 2013.
Where is Lukas Smith based?
Lukas Smith’s registered office is in Goodlettsville, TN.
Is Lukas Smith registered with FINRA?
No. Lukas Smith has no current broker registration.
How can I verify Lukas Smith’s record?
Search CRD 5795552 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Lukas Smith’s full registration record.
