Mitchell K. Smith

TLG ADVISORS

Boca Raton, FL 33432

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CRD#: 2633032

Professional summary

Mitchell Keith Smith is a registered financial advisor currently at TLG ADVISORS, INC. located in Boca Raton, Florida and THE LEADERS GROUP, INC. located in Boca Raton, Florida.

Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Mitchell has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

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.) EPIC LIFE - 1/1/2020 - 1140 Avenue of the Americas, 8th Floor, New York, NY 10036 - President, Manage and oversee business as well as produce, Not Invt Rel, Fixed insurance services, 0 hrs/mo; 0 hrs/mo (during trading hours). 2.) EPIC SELECT - 1/1/2020 - 1140 Avenue of the Americas, 8th Floor, New York, NY 10036 - Managing Principal, Manage and oversee business as well as produce, Not Invt Rel, Fixed insurance services, 0 hrs/mo; 0 hrs/mo (during trading hours). 3.) Vanbridge, an EPIC company - 10/1/2018 - 1140 Avenue of the Americas, 8th Floor, New York, NY 10036 - Managing Principal, Partner, Manage and oversee business as well as produce, Not Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 4. TLG ADVISORS, INC - 4/29/2021 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, IAR Business, 0 hrs/mo; 0 hrs/mo (during trading hours). 5. VANBRIDGE LIFE & EXECUTIVE BENEFITS - 3/4/2024 - 1140 6th Avenue, 8th Floor, NY, NY 10036 - Management, Overseeing the division that handles the OID service, Invt Rel, 30 hrs/mo; 30 hrs/mo (during trading hours). 6.) EPICVanbridge, LLC - 10/1/2018 - 225 NE Mizner Blvd, Suite 675, Boca Raton, FL 33432 - Managing Principal, Registered Rep & Investment Advisor, Sale, (retail and wholesale) and design assistance for variable products, Invt Rel, Sale of Variable Products, 50 hrs/mo; 50 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Keith 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®

None

Experience

Current

September 29, 2021 - Present

TLG ADVISORS, INC.

Office #1: 225 Ne Mizner Blvd, Suite 675, Boca Raton, FL 33432

RIA

CRD#: 111052

Boca Raton, FL

Current

April 29, 2021 - Present

THE LEADERS GROUP, INC.

Office #1: 225 Ne Mizner Blvd, Suite 675, Boca Raton, FL 33432

CRD#: 37157

Boca Raton, FL

Past

April 28, 2016 - April 29, 2021

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

DEERFIELD BEACH, FL

Past

April 7, 2008 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Boca Raton, FL

Past

April 3, 2008 - April 29, 2021

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Boca Raton, FL

Past

September 19, 2006 - April 2, 2008

OSAIC FS, INC.

RIA

CRD#: 3870

BOCA RATON, FL

Past

May 15, 2002 - April 2, 2008

OSAIC FS, INC.

CRD#: 3870

BOCA RATON, FL

Past

January 3, 2001 - June 10, 2002

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BOCA RATION, FL

Past

December 21, 2000 - June 10, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 21, 2000 - June 10, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

November 13, 1997 - December 22, 2000

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

July 17, 1997 - November 13, 1997

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

August 8, 1995 - July 25, 1997

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

August 8, 1995 - July 25, 1997

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 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.

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

Alaska
(11/9/2023)

California
(4/29/2021)

Connecticut
(4/29/2021)

Florida
(4/29/2021)

IAR

Florida
(9/29/2021)

Georgia
(5/20/2021)

Illinois
(7/22/2021)

Indiana
(7/2/2025)

Iowa
(6/2/2025)

Louisiana
(7/5/2022)

Massachusetts
(4/29/2021)

Michigan
(9/11/2025)

Missouri
(10/22/2024)

New Hampshire
(4/29/2021)

New Jersey
(4/29/2021)

New Mexico
(10/2/2024)

New York
(4/29/2021)

North Carolina
(10/11/2022)

Ohio
(5/10/2023)

Oregon
(10/17/2022)

Pennsylvania
(5/12/2021)

Rhode Island
(5/13/2021)

Texas
(9/12/2022)

Virginia
(6/13/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/5/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/6/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TLG ADVISORS, INC.

CRD#: 111052 / SEC#: 801-60458

RIA

Registered Investment Advisory firm - (8/6/2001 Approved)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

Phone number

(888) 371-0013

Established

Firm type

Fiscal year end

# of Employees

280

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TLG ADVISORS FORM ADV BROCHURE 2025 (3/30/2025)

Regulatory assets under management

Total Number of Accounts	6,331
AUM (Assets Under Management)	$ 1,948,103,893

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

Mitchell K. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Keith Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FS, INC.

OSAIC FS, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

OSAIC FS, INC.

MUTUAL SERVICE CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

TLG ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2006

Series 63

Date: 2/5/1998

SIE

Date: 10/1/2018

Series 7

Date: 2/6/2002

Series 6

Date: 8/7/1995

FINRA

Current Firm

TLG ADVISORS, INC.

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TLG ADVISORS, INC.

TRUST BUT VERIFY

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