Alan M. Smith

ASA ADVISORS

EUREKA, MO

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CRD#: 1580404

Professional summary

Alan Mcmullen Smith, CFP®, ChFC®, CLU®, who also goes by Alan M Smith, is a registered financial advisor currently at ASA ADVISORS, INC. located in Eureka, Missouri and TRINITY WEALTH ADVISORS LLC located in St. Louis, Missouri.

Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Alan has worked at 7 firms and has passed the Series 63, Series 22TO, Series 7TO, Series 6TO, SIE, Series 7, Series 22, Series 6, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alan M Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

REGISTRANT IS AN INDEPENDENT REPRESENTATIVE FOR 'GROWTH MANAGEMENT GROUP / STRYDE SAVINGS,' A NON-INVESTMENT RELATED COMPANY PROVIDING TAX AND COST SAVING STRATEGIES FOR PRIVATELY HELD COMPANIES. REGISTRANT DEVOTES LESS THAN 5 HOURS PER MONTH TO THIS ACTIVITY, MOST OF WHICH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Mcmullen Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1992

ChFC^®

Chartered Financial Consultant

CLU^®

Chartered Life Underwriter

Experience

Current

July 31, 2014 - Present

ASA ADVISORS, INC.

RIA

CRD#: 170898

EUREKA, MO

Current

December 23, 2020 - Present

TRINITY WEALTH ADVISORS LLC

Office #1: 132 W Washington Ave Suite 200, St. Louis, MO 63122

RIA

CRD#: 109452

St. Louis, MO

Past

February 16, 2001 - January 5, 2021

TRINITY WEALTH SECURITIES, L.L.C.

CRD#: 104348

Ellisville, MO

Past

March 13, 1997 - March 22, 2001

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 16, 1992 - January 31, 1997

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

April 22, 1988 - October 20, 1992

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

December 2, 1986 - May 4, 1988

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRINITY WEALTH ADVISORS LLC

TRINITY WEALTH ADVISORS LLC | TRINITY WEALTH SECURITIES | TRINITY WEALTH ADVISORS, L.L.C.

CRD#: 109452 / SEC#: 801-55428

RIA

Registered Investment Advisory firm - (4/24/1998 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Missouri
(7/31/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

General Securities Principal Examination

Current Firm

TRINITY WEALTH ADVISORS LLC

TRINITY WEALTH ADVISORS LLC | TRINITY WEALTH SECURITIES | TRINITY WEALTH ADVISORS, L.L.C.

CRD#: 109452 / SEC#: 801-55428

RIA

Registered Investment Advisory firm - (4/24/1998 Approved)

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Contact information

Main Address

132 W Washington Ave Suite 200, St. Louis, MO 63122

Mailing Address

Phone number

(314) 966-0033

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TWA FORM ADV PART 2A (3/18/2025)

Regulatory assets under management

Total Number of Accounts	540
AUM (Assets Under Management)	$ 258,909,490

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.

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Advisor Monitoring

Firm Stability Insights

Alan M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alan Mcmullen Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRINITY WEALTH ADVISORS LLC

TRINITY WEALTH SECURITIES, L.L.C.

OSAIC WEALTH, INC.

WALNUT STREET SECURITIES, INC.

NEW ENGLAND SECURITIES

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

TRINITY WEALTH ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/1/1986

Series 22TO

Date: 3/31/2024

Series 7TO

Date: 3/31/2024

Series 6TO

Date: 3/31/2024

SIE

Date: 10/1/2018

Series 7

Date: 4/3/1995

Series 22

Date: 5/26/1987

Series 6

Date: 12/1/1986

Series 14

Date: 3/31/2024

Series 24

Date: 3/31/2024

Current Firm

TRINITY WEALTH ADVISORS LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRINITY WEALTH ADVISORS LLC

TRUST BUT VERIFY

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