Matthew Smith has been Chief Compliance Officer of Halter Ferguson Financial since January 2025, is a control person of the firm and directly owns under 5% of it.
Halter Ferguson Financial Inc is a Carmel, IN firm with $705M under management, 292 clients and 7 advisers in one office, as of its October 2026 filing.
- – present · 3 yearsPlymouth, MI · Adviser representative · Firm CRD 109563
Investment adviser representative registrations
Matthew Smith is registered as an investment adviser representative in Indiana, since May 2023.
- IndianaSince 1 May 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 10 October 2022 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 August 2011 |
| Series 79 | Investment Banking Registered Representative Examination | 27 June 2011 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Banking Registered Representative Examination
- Full name
- Matthew Charles Smith
- CRD
- 5922356
- Firm
- Halter Ferguson Financial · CRD 109563
- Role
- Chief Compliance Officer
- Office
- Plymouth, MI
- Registration
- Investment adviser registration
- In the industry since
- April 2023
- Disciplinary history
- Not yet shown here · SEC record
Where does Matthew Smith work?
Matthew Smith has been Chief Compliance Officer of Halter Ferguson Financial Inc since January 2025, and is a control person of the firm.
Is Matthew Smith a financial advisor?
Yes. Matthew Smith has a current investment-adviser registration in Indiana, through Halter Ferguson Financial since May 2023.
How many years of experience does Matthew Smith have?
Matthew Smith has 3 years in the financial industry, since April 2023, across 1 adviser firm.
What exams has Matthew Smith passed?
Matthew Smith has passed 3 licensing exams: the Series 79, Series 63 and Series 65. The earliest, the Series 79, was passed in June 2011.
Where is Matthew Smith based?
Matthew Smith’s registered office is in Plymouth, MI.
Is Matthew Smith registered with FINRA?
No. Matthew Smith has no current broker registration.
How can I verify Matthew Smith’s record?
Search CRD 5922356 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Matthew Smith’s full registration record.
