Travis Smith has been an investment adviser representative at Delta Investment Management since May 2022, and is not listed among the firm’s executive officers or direct owners.
Delta Investment Management, LLC is a San Francisco, CA firm with $857M under management, 1,099 clients and 25 advisers across 11 offices, as of its April 2026 filing.
Travis Smith’s longest registration is the current one, 4 years at Delta Investment Management since 2022. Before joining Delta Investment Management in 2022, Travis Smith was registered through Retirement Wealth Advisors, Inc. and Brookstone Capital Management LLC.
- – present · 4 yearsGreenville, SC · Adviser representative · Firm CRD 149596
- Retirement Wealth Advisors, Inc.– · under a yearGreenville, SC · Adviser representative · Firm CRD 137658
- Brookstone Capital Management LLC– · under a yearGreenville, SC · Adviser representative · Firm CRD 141413
- Jonathan Roberts Advisory Group, Inc.– · under a yearGreer, SC · Adviser representative · Firm CRD 112294
- Lincoln Financial Securities Corporation– · under a yearGreenville, SC · Adviser representative · Firm CRD 3870
- Wachovia Securities, LLC– · under a yearGreenville, SC · Adviser representative · Firm CRD 19616
- A. G. Edwards & Sons, Inc.– · 1 yearGreenville, SC · Adviser representative · Firm CRD 4
Investment adviser representative registrations
Travis Smith is registered as an investment adviser representative in South Carolina, since May 2022.
- South CarolinaSince 17 May 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 24 November 2006 |
| Series 7 | General Securities Representative Examination | 10 November 2006 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Travis Blue Smith
- CRD
- 5221821
- Firm
- Delta Investment Management · CRD 149596
- Office
- 113 Whitsett Street, Greenville, SC 29601
- Registration
- Investment adviser registration
- In the industry since
- August 2017
- Disciplinary history
- Not yet shown here · SEC record
Where does Travis Smith work?
Travis Smith is an investment adviser representative registered through Delta Investment Management, LLC since May 2022, and is not listed among the firm’s executive officers or direct owners.
Is Travis Smith a financial advisor?
Yes. Travis Smith has a current investment-adviser registration in South Carolina, through Delta Investment Management since May 2022.
How many years of experience does Travis Smith have?
Travis Smith has 9 years in the financial industry, since August 2017, across 7 adviser firms.
What exams has Travis Smith passed?
Travis Smith has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2006.
Where did Travis Smith work before Delta Investment Management?
Before Delta Investment Management, Travis Smith was registered through Retirement Wealth Advisors, Inc., February 2017 to February 2018; Brookstone Capital Management LLC, May 2016 to February 2017; Jonathan Roberts Advisory Group, Inc., January 2010 to November 2010; Lincoln Financial Securities Corporation, October 2008 to August 2009; Wachovia Securities, LLC, January 2008 to April 2008; A. G. Edwards & Sons, Inc., November 2006 to January 2008.
Where is Travis Smith based?
Travis Smith’s registered office is in Greenville, SC.
Is Travis Smith registered with FINRA?
No. Travis Smith has no current broker registration.
How can I verify Travis Smith’s record?
Search CRD 5221821 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Travis Smith’s full registration record.
