Wade Smith has been Managing Member of L & W Financial since March 2004, is a control person of the firm and directly owns between 50% and 75% of it. Wade Smith holds a Master's degree in finance from Texas A&M University and a Bachelor's degree in agricultural economics from Texas A&M University.
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.
Wade Smith is a financial professional with Smith & Wyatt, based in College Station, Texas. In 2016 he registered his own company, Smith & Wyatt, with the Texas State Securities Board as a Registered Investment Adviser. Since then the firm has become federally registered with the SEC and has both advisors and clients in multiple states.
Wade Smith’s longest registration is the current one, 9 years at L & W Financial since 2016. Before joining L & W Financial in 2016, Wade Smith was registered through Securities America Advisors, Inc.
- Smith & WyattCurrent– present · 9 yearsCollege Station, TX · Adviser representative · Firm CRD 285310
- Securities America Advisors, Inc.– · 1 yearHouston, TX · Adviser representative · Firm CRD 110518
Investment adviser representative registrations
Wade Smith is registered as an investment adviser representative in 5 states. The first approvals date from December 2016; the most recent is Pennsylvania, in February 2026.
- FloridaSince 31 October 2023
- LouisianaSince 16 November 2022
- OhioSince 5 February 2024
- PennsylvaniaSince 24 February 2026
- TexasSince 15 December 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 9 January 2015 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 January 2012 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 January 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 6017936
- Firm
- L & W Financial · CRD 285310
- Role
- Managing Member
- Office
- 511 UNIVERSITY DR. E, SUITE 210, College Station, TX 77840
- Registration
- Investment adviser registration
- In the industry since
- January 2012
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- smithwyatt.com
Where does Wade Smith work?
Wade Smith has been Managing Member of L & W Financial, LLC since March 2004, and is a control person of the firm.
Is Wade Smith a financial advisor?
Yes. Wade Smith has a current investment-adviser registration in Florida, Louisiana, Ohio, Pennsylvania and Texas, through L & W Financial since December 2016.
How many years of experience does Wade Smith have?
Wade Smith has 14 years in the financial industry, since January 2012, across 2 adviser firms.
What exams has Wade Smith passed?
Wade Smith has passed 3 licensing exams: the Series 6, Series 63 and Series 65. The earliest, the Series 6, was passed in January 2012. FINRA credited Wade Smith with the SIE, which began in October 2018.
Where is Wade Smith based?
Wade Smith’s registered office is in College Station, TX.
Is Wade Smith registered with FINRA?
No. Wade Smith has no current broker registration.
How can I verify Wade Smith’s record?
Search CRD 6017936 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Wade Smith’s full registration record.