Thomas Edward Smith Jr
Professional Summary
Thomas Edward Smith JR, who also goes by Thomas E Smith, Thomas Edwards Smith Jr, is a registered financial advisor currently at AVANT-GARDE TRADING SECURITIES located in Chicago, Illinois. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas E Smith, Thomas Edwards Smith Jr
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
30 years in the financial services industry
Current & Past Employments
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Current Firm
AVANT-GARDE TRADING SECURITIES | PROSPERUM SECURITIES LLC DBA AVANT-GARDE TRADING SECURITIES | PROSPERUM FINTECH HOLDINGS, LLC
Contact Information
Main Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606Mailing Address
30 S. Wacker Dr Suite 2840, Chicago, IL 60606Phone Number
(312) 858-5748Established
Illinois since 11/23/2016Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(5/21/2024)
(5/21/2024)
(5/31/2024)
(6/18/2024)
(5/22/2024)
(5/22/2024)
(5/22/2024)
(6/3/2024)
(7/8/2024)
(5/23/2024)
(5/22/2024)
(10/25/2018)
(7/19/2024)
(5/21/2024)
(8/14/2024)
(5/24/2024)
(5/30/2024)
(5/21/2024)
(6/4/2024)
(7/30/2024)
(5/23/2024)
(5/21/2024)
(3/11/2025)
(5/22/2024)
(5/21/2024)
(5/21/2024)
(9/27/2024)
(5/21/2024)
(11/25/2024)
(5/22/2024)
(5/22/2024)
(10/21/2024)
(5/22/2024)
(5/21/2024)
(5/27/2024)
(5/22/2024)
(5/22/2024)
(5/22/2024)
(5/28/2024)
(5/22/2024)
(5/22/2024)
(9/9/2024)
(5/22/2024)
(5/21/2024)
(8/5/2024)
(6/18/2024)
(9/30/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Edward Smith JR's CRS (Customer Relationship Summary).
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