Troy M. Smith
WAKE WEALTH MANAGEMENT CO.
RALEIGH, NC 27612
Some features on this profile are disabled
CRD#: 1962458
Professional summary
Troy Mckay Smith, CFP® is a registered financial advisor currently at WAKE WEALTH MANAGEMENT CO. located in Raleigh, North Carolina and LPL FINANCIAL LLC located in Salt Lake City, Utah.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Troy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Comprehensive Financial Planni...
Divorce Planning
Tax Planning
Investment Planning
Employee and Employer Plan Ben...
Retirement Planning
Insurance Planning
Estate Planning
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. 05/2025 - TROY SMITH - Artist/ Musician - Investment Related - At Reported Business Location(s) - Start Date 03/16/2020 - 4 hours per month/ 2 hours during trading 2. 05/2025 - TROY SMITH - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 01/01/1993 - 2 hours per month/ 2 hours during trading 3. 05/13/2025 - WAKE WEALTH MANAGEMENT CO - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:09/19/2011 - 40 Hrs/Mth - 20 Hrs During Trading - I provide investment advisory services through Wake Wealth Management Co., an independent investment advisor firm. I started this business activity in 09/2011. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Mckay Smith's 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®
Start date: 2002
Experience
Current
September 26, 2011 - Present
WAKE WEALTH MANAGEMENT CO.
Office #1: 4509 Creedmoor Road Suite 201, Raleigh, NC 27612RIA
CRD#: 159170
RALEIGH, NC
Current
May 1, 2025 - Present
LPL FINANCIAL LLC
Office #1: 222 Main St Ste 500, Salt Lake City, UT 84101Office #2: 4509 Creedmoor Rd Ste 201 Ste 201, Raleigh, NC 27612RIA
BD
CRD#: 6413
SALT LAKE CITY, UT
Past
April 5, 2005 - September 21, 2011
GROVE POINT INVESTMENTS, LLC
RIA
CRD#: 1763
Raleigh, NC
Past
April 5, 2005 - May 1, 2025
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Raleigh, NC
Past
January 5, 2004 - April 5, 2005
1717 CAPITAL MANAGEMENT COMPANY
RIA
CRD#: 4082
DURHAM , NC
Past
December 18, 2003 - April 5, 2005
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
December 31, 2001 - September 30, 2003
LEWIS FINANCIAL MANAGEMENT, LLC
RIA
CRD#: 116344
RALEIGH, NC
Past
September 18, 1990 - December 31, 2003
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
Past
July 12, 1989 - August 29, 1990
GENE MORGAN FINANCIAL
BD
CRD#: 16018
LOS ANGELES, CA
Past
June 20, 1989 - August 5, 1989
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ROCKVILLE, MD
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/1/2025)
RR
California(5/1/2025)
RR
Colorado(5/1/2025)
RR
Connecticut(5/1/2025)
RR
Delaware(5/1/2025)
RR
District of Columbia(5/1/2025)
RR
Florida(5/5/2025)
RR
Georgia(5/1/2025)
RR
Hawaii(5/1/2025)
RR
Idaho(5/1/2025)
RR
Illinois(5/1/2025)
RR
Indiana(5/1/2025)
RR
Iowa(11/6/2025)
RR
Kansas(5/1/2025)
RR
Maryland(5/1/2025)
RR
Michigan(5/1/2025)
RR
Minnesota(5/1/2025)
RR
Missouri(5/1/2025)
RR
Montana(5/1/2025)
RR
Nevada(5/1/2025)
RR
New Jersey(5/1/2025)
RR
New Mexico(5/1/2025)
RR
New York(5/1/2025)
IAR
North Carolina(9/26/2011)
RR
North Carolina(5/1/2025)
RR
Ohio(5/1/2025)
RR
Pennsylvania(5/1/2025)
RR
South Carolina(5/1/2025)
RR
South Dakota(5/1/2025)
RR
Tennessee(5/1/2025)
RR
Texas(5/1/2025)
RR
Utah(5/1/2025)
RR
Virginia(5/1/2025)
RR
Washington(5/1/2025)
RR
Wisconsin(5/1/2025)
RR
Wyoming(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WW
WAKE WEALTH MANAGEMENT CO.
WAKE WEALTH MANAGEMENT CO.
CRD#: 159170 / SEC#:
North Carolina
Registered Investment Advisory firm - (9/26/2011 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4509 Creedmoor Road Suite 201, Raleigh, NC 27612
Mailing Address
222 Main Street Suite 500, Salt Lake City, UT 84101
Phone number
(919) 570-3300
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 8,500,000 |
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.
Company Information
WAKE WEALTH MANAGEMENT CO.
CRD#: 159170Raleigh, NC 27612TRUST BUT VERIFY
Monitor Troy Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
