Tina M. 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.
Tina Marie Smith, who also goes by Tina Marie Gracey, Tina Marie Gulledge, was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 1989. Tina had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
June 7, 2017 - March 16, 2021
PHILLIPS CAPITAL ADVISORS, INC.
June 7, 2017 - March 16, 2021
T.S. PHILLIPS INVESTMENTS, INC.
August 3, 2010 - April 6, 2016
WFG ADVISORS, LP
September 26, 2005 - April 6, 2016
WFG INVESTMENTS, INC.
April 6, 2001 - September 27, 2005
MORGAN STANLEY DW INC.
March 2, 1998 - April 12, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
January 3, 1995 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
April 11, 1990 - January 11, 1995
UBS FINANCIAL SERVICES INC.
June 23, 1989 - March 23, 1990
LEHMAN BROTHERS INC.
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
PHILLIPS CAPITAL ADVISORS, INC.
CRD#: 115758 / SEC#: 801-66961
Contact information
Regulatory assets under management
| Total Number of Accounts | 646 |
| AUM (Assets Under Management) | $ 588,585,326 |
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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