Curtis A. Smith
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.
Curtis Arnold Smith was a registered financial professional .
Curtis is a previously registered financial professional and started their career in finance in 1983. Curtis had worked at 9 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2014 - November 7, 2016
MERCER GLOBAL ADVISORS INC.
July 10, 2013 - December 1, 2014
GAINER DONNELLY WEALTH ADVISORS, LLC
May 3, 2011 - July 1, 2013
USAA FINANCIAL ADVISORS, INC.
March 23, 2011 - July 1, 2013
USAA FINANCIAL PLANNING SERVICES
August 19, 1992 - March 7, 2011
INTERACTIVE CAPITAL MANAGEMENT COMPANY
January 14, 1991 - September 9, 1992
SUNAMERICA SECURITIES, INC.
July 15, 1987 - January 22, 1991
ASSOCIATED SECURITIES CORP.
May 5, 1983 - November 16, 1987
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
January 19, 1983 - February 1, 1984
JOHNSON & JOUNET SECURITIES
Primary Firm SEC Registration
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
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
Current Firm
MERCER GLOBAL ADVISORS INC.
CRD#: 147363 / SEC#: 801-69271
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 99,044 |
| AUM (Assets Under Management) | $ 60,256,270,580 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/29/2025 | ||
| 07/31/2024 | ||
| 09/28/2023 | ||
| 12/07/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
