Gary T. Smart
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gary Thomas Smart was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1998. Gary had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2008 - January 2, 2020
FREESTONE CAPITAL MANAGEMENT, LLC
January 21, 2003 - January 7, 2015
FREESTONE SECURITIES, LLC
October 8, 2002 - November 15, 2002
GREAT PACIFIC SECURITIES
February 11, 1999 - May 13, 2008
FREESTONE CAPITAL MANAGEMENT INC
February 13, 1998 - March 5, 1999
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
FREESTONE CAPITAL MANAGEMENT, LLC
CRD#: 145711 / SEC#: 801-69073
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/16/2002
Limited Representative-Equity Trader ExamCurrent Firm
FREESTONE CAPITAL MANAGEMENT, LLC
CRD#: 145711 / SEC#: 801-69073
Contact information
SEC notice filing (40 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,231 |
| AUM (Assets Under Management) | $ 11,493,619,610 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/16/2025 | ||
| 11/21/2024 | ||
| 09/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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