Thomas Smith has been an investment adviser representative at Legacy Wealth Management since May 2024, and is not listed among the firm’s executive officers or direct owners.
Legacy Wealth Management, LLC is a Boise, ID firm with $629M under management, 3,416 clients and 39 advisers across 22 offices, as of its May 2026 filing.
Thomas Smith’s longest registration was 4 years at Titan Securities (2011–2016). Before joining Legacy Wealth Management in 2024, Thomas Smith was registered through Realta Investment Advisors, Inc and Capital Markets Iq, LLC.
- – present · 2 yearsSouthlake, TX · Adviser representative · Firm CRD 174767
- Realta Investment Advisors, Inc– · 1 yearSouthlake, TX · Adviser representative · Firm CRD 134952
- Capital Markets Iq, LLC– · under a yearArlington, TX · Adviser representative · Firm CRD 134921
- Center Street Advisors, Inc.– · 4 yearsSouthlake, TX · Adviser representative · Firm CRD 169329
- Center Street Advisors, Inc.– · 1 yearArlington, TX · Adviser representative · Firm CRD 169329
- Titan Securities– · 4 yearsArlington, TX · Adviser representative · Firm CRD 131392
- Newbridge Financial Services Group, Inc.– · under a yearBedford, TX · Adviser representative · Firm CRD 130814
Investment adviser representative registrations
Thomas Smith is registered as an investment adviser representative in Texas, since May 2024.
- TexasSince 23 May 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 13 June 2011 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 September 2010 |
| Series 7 | General Securities Representative Examination | 27 June 2010 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 18 July 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Thomas Patrick Smith
- CRD
- 429070
- Firm
- Legacy Wealth Management · CRD 174767
- Office
- 1500 Corporate Cir., Southlake, TX 76092
- Registration
- Investment adviser registration
- In the industry since
- April 2009
- Disciplinary history
- Not yet shown here · SEC record
Where does Thomas Smith work?
Thomas Smith is an investment adviser representative registered through Legacy Wealth Management, LLC since May 2024, and is not listed among the firm’s executive officers or direct owners.
Is Thomas Smith a financial advisor?
Yes. Thomas Smith has a current investment-adviser registration in Texas, through Legacy Wealth Management since May 2024.
How many years of experience does Thomas Smith have?
Thomas Smith has 17 years in the financial industry, since April 2009, across 6 adviser firms.
What exams has Thomas Smith passed?
Thomas Smith has passed 4 licensing exams: the Series 6, Series 7, Series 63 and Series 66. The earliest, the Series 6, was passed in July 2000. FINRA credited Thomas Smith with the SIE, which began in October 2018.
Where did Thomas Smith work before Legacy Wealth Management?
Before Legacy Wealth Management, Thomas Smith was registered through Realta Investment Advisors, Inc, November 2022 to May 2024; Capital Markets Iq, LLC, August 2022 to October 2022; Center Street Advisors, Inc., April 2018 to September 2022; Center Street Advisors, Inc., June 2016 to August 2017; Titan Securities, August 2011 to June 2016; Newbridge Financial Services Group, Inc., June 2011 to August 2011.
Where is Thomas Smith based?
Thomas Smith’s registered office is in Southlake, TX.
Is Thomas Smith registered with FINRA?
No. Thomas Smith has no current broker registration.
How can I verify Thomas Smith’s record?
Search CRD 429070 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Thomas Smith’s full registration record.
