TS
Thomas C. Smith
RBC CAPITAL MARKETS
TYLER, TX 75703-1013
Some features on this profile are disabled
CRD#: 2275765
TS
Thomas Curts SmithRBC CAPITAL MARKETS
Professional summary
Thomas Curts Smith, CFP® is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Tyler, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 9, Series 10 and Series 24 exams.
Services Offered
Estate Planning
Retirement Planning
Investment Planning
Comprehensive Financial Planning
Retirement Income Management
Insurance Planning
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)HOSPICE OF EAST TEXAS; NOT INVESTMENT RELATE; 4111 UNIVERSITY BLVD. TYLER, TX 75701; NON-PROFIT; BOARD MEMBER; START DATE: 1/2011; APPROX 4 HRS/MO; FOUNDATION MANAGES THE HOSPICE OF EAST TEXAS ENDOWMENT FUNDS, DUTIES INCLUDE ATTENDING MONTHLY BOARD MEETINGS, REVIEWING INVESTMENT PORTFOLIOS AND PERFORMANCE (2) BRIDGE WEALTH LAND; ADDRESS: 1347 DOMINION PLAZA, TYLER, TX 75703; BUSINESS DESCRIPTION: COMMERCIAL REAL ESTATE; NOT INVESTMENT RELATED; START DATE: 07/16/2013; CAPACITY: OWNER-ACTIVE; DUTIES: COLLECTS RENT, MAINTAIN PROPERTY; HOURS DEVOTED PER WEEK: 02; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK: 0 (3) LIFE INSURANCE COMMISIONS AND TRAILS;1347 DOMINION PLAZA AND 7306 WINTERBERRY COVE TYLER,TX 75703;PROJECTED START DATE:04/01/92;PROJECTED END DATE:12/31/99;INDEPENDENT CONTRACTOR/CONSULTANT;DUTIES:COLLECT FIRST YEAR AND TRAILING COMMISSIONS ON INSURANCE POLICIES WRITTEN BETWEEN 1992 AND 2013 WHICH PREDATE MY EMPLOYMENT WITH RBC. 0 HOURS WILL BE DEVOTED TO THIS ACTIVITY PER MONTH;0 HOURS WILL BE DEVOTED TO THIS ACTIVITY DURING SECURITY TRADING HOURS. (4)NAME OF ENTITY: Land Bridge LLC. ADDRESS OF BUSINESS: 364 CR 3327; Woodson TX; 76491. BUSINESS DESCRIPTIONS: Ranch Operation. BUSINESS IS NOT INVESTMENT RELATED. PROJECTED START DATE: - 03/01/15. CAPACITY: Owner - Passive. DUTIES PERFORMED: owner an operating ranch in west texas. ranch has a small amount of crop and grazing revenue. ranch is used for personal enjoyment and hunting. the ranch is operated by a local ranch hand. HOURS DEVOTED TO THIS OBA PER MONTH: 0. HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 0. (5) NAME OF ENTITY: Grey Bridge LLC. ADDRESS OF BUSINESS: County Road 1210; Rusk TX; 75785. BUSINESS DESCRIPTIONS: Undeveloped land for hunting and grazing. BUSINESS IS NOT INVEST RELATED. PROJECTED START DATE: - 07/31/14. CAPACITY: Owner - Passive. DUTIES PERFORMED: owner of a small tract of land upon which hay production takes place, and is used for deer hunting. A ranch hand runs and maintains the land. HOURS DEVOTED TO THIS OBA PER MONTH: 0 ;HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 0 (6) NAME OF ENTITY: DC Drive Partners, LLC. ADDRESS OF BUSINESS: P. O. Box 6304; Tyler TX 75711. BUSINESS DESCRIPTIONS: An entity that owns commercial Real Estate. BUSINESS IS NOT INVEST RELATED. PROJECTED START DATE: - 10/01/16. PROJECTED END DATE: - No Anticipated End Date. CAPACITY: Treasurer. DUTIES PERFORMED: None. HOURS DEVOTED TO THIS OBA PER MONTH: 0.; HOURS DEVOTED DURING SECURITY TRADING HOURS PER MONTH: 0. (7) BRIDGE CRAFT LLC; ADDRESS: 1347 DOMINION PLAZA, TYLER TX 75703; BUSINESS DESCRIPTION: OWNERSHIP IN A 10% INTEREST PERSONAL PLEASURE CRAFT; NOT INVESTMENT RELATED; START DATE: 11/01/2016; CAPACITY: OWNER-ACTIVE; DUTIES: INVESTOR; HOURS DEVOTED PER WEEK: 0; HOURS DEVOTED DURING SECURITIES HOURS PER WEEK:0 (8) NAME OF ENTITY: Tyler Half Cent Sales Tax Board; ADDRESS: 423 Ferguson Street Tyler TX 75701; NOT INVEST RELATED; BUSINESS DESCRIPTION: Public Improvement Organization; CAPACITY: Board of Directors; START DATE: 06/01/2021; DUTIES: Bi-monthly board meetings; HOURS DEVOTED PER MONTH: Less than 1, HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (9) Name of Entity: Tyler Economic Development Council Non-Investment related Address of Entity: 315 North Broadway Ave, Tyler, TX 75702 Nature of OBA: Non-Profit that promotes the creation and retention of jobs for Tyler and Smith County. Position/Title/Relationship: Board of Directors * Projected start date: 06/01/23 Time Devoted: 0.5 hours; 0.5 during securities trading hours Duties: governance, vote to provide recruit companies (10) NAME OF ENTITY: Social Media infuencer ADDRESS: N/A INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Social Media infuencer CAPACITY: Owner - Active START DATE: 06/01/2024 DUTIES: create content for personal facebook, instagram, and youtube. HOURS DEVOTED PER MONTH: 1/2 HOURS DEVOTED DURING SECURITY TRADING HRS-0
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Curts Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Curts 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: 2000
Experience
Current
January 3, 2014 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1347 Dominion Plaza, Tyler, TX 75703-1013RIA
BD
CRD#: 31194
TYLER, TX
Current
January 3, 2014 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1347 Dominion Plaza, Tyler, TX 75703-1013RIA
BD
CRD#: 31194
TYLER, TX
Past
June 15, 2012 - December 31, 2013
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
TYLER, TX
Past
June 13, 2012 - May 7, 2014
COVENANT
RIA
CRD#: 152651
TYLER, TX
Past
May 13, 2003 - June 22, 2012
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
TYLER, TX
Past
May 13, 2003 - June 22, 2012
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
TYLER, TX
Past
January 6, 1999 - June 16, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
DALLAS, TX
Past
October 5, 1992 - May 29, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(11/3/2021)
RR
Arizona(2/7/2025)
RR
California(7/6/2023)
RR
Colorado(7/15/2014)
RR
Delaware(3/19/2015)
RR
Illinois(5/18/2022)
RR
Kansas(8/5/2025)
RR
Louisiana(6/30/2022)
RR
Michigan(2/10/2015)
RR
Missouri(9/8/2017)
RR
New York(10/19/2017)
RR
North Carolina(11/10/2021)
RR
Ohio(8/12/2025)
RR
Oklahoma(1/3/2014)
RR
South Carolina(1/3/2014)
RR
Tennessee(11/3/2021)
RR
Texas(1/3/2014)
IAR
Texas(1/3/2014)
RR
Utah(3/7/2024)
IAR
Utah(3/8/2024)
RR
Washington(2/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Loading...
Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,781
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 511,871 |
| AUM (Assets Under Management) | $ 310,428,968,904 |
Disclosures
| Regulatory Event | 367 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
