Nicholas Smith has been an investment adviser representative at L & W Financial since February 2024, and is not listed among the firm’s executive officers or direct owners.
L & W Financial, LLC is a College Station, TX firm with $207M under management, 724 clients and 8 advisers across 5 offices, as of its July 2026 filing.
Nicholas Smith’s longest registration is the current one, 2 years at L & W Financial since 2024. Before joining L & W Financial in 2024, Nicholas Smith was registered through JMG Financial Group LTD.
- JMG Financial Group LTD– · 1 yearDowners Grove, IL · Adviser representative · Firm CRD 110302
Investment adviser representative registrations
Nicholas Smith is registered as an investment adviser representative in 4 states. The first approvals date from February 2024; the most recent are Pennsylvania and Texas, in February 2026.
- FloridaSince 1 May 2025
- IllinoisSince 6 February 2024
- PennsylvaniaSince 23 February 2026
- TexasSince 23 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 8 December 2017 |
- Name
- Uniform Investment Adviser Law Examination
- Full name
- Nicholas Scott Smith
- CRD
- 6919005
- Firm
- L & W Financial · CRD 285310
- Office
- 655 Metro Place South, Suite 100, Dublin, OH 43017
- Registration
- Investment adviser registration
- In the industry since
- September 2022
- Disciplinary history
- Not yet shown here · SEC record
Where does Nicholas Smith work?
Nicholas Smith is an investment adviser representative registered through L & W Financial, LLC since February 2024, and is not listed among the firm’s executive officers or direct owners.
Is Nicholas Smith a financial advisor?
Yes. Nicholas Smith has a current investment-adviser registration in Florida, Illinois, Pennsylvania and Texas, through L & W Financial since February 2024.
How many years of experience does Nicholas Smith have?
Nicholas Smith has 4 years in the financial industry, since September 2022, across 2 adviser firms.
What exams has Nicholas Smith passed?
Nicholas Smith passed the Series 65 in December 2017.
Where did Nicholas Smith work before L & W Financial?
Before L & W Financial, Nicholas Smith was registered through JMG Financial Group LTD, May 2022 to October 2023.
Where is Nicholas Smith based?
Nicholas Smith’s registered office is in Dublin, OH.
Is Nicholas Smith registered with FINRA?
No. Nicholas Smith has no current broker registration.
How can I verify Nicholas Smith’s record?
Search CRD 6919005 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Nicholas Smith’s full registration record.