Thomas G. Smith
Professional summary
Thomas Gerald Smith JR, who also goes by Chip Smith, is a registered financial advisor currently at THOMAS SMITH AND ASSOCIATES, INC. located in Seneca, South Carolina.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Thomas has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Gerald Smith JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2013 - Present
THOMAS SMITH AND ASSOCIATES, INC.
January 23, 2003 - November 11, 2003
ELLINGTON SMITH, LLC
July 29, 1993 - April 17, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
February 19, 1992 - July 22, 1993
UVEST BROKERAGE SERVICES
May 24, 1990 - March 21, 1991
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/7/2013)
Exams
Current Firm
THOMAS SMITH AND ASSOCIATES, INC.
CRD#: 126810 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 10,191,323 |
Red Flags
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