Timothy Harlan Borman

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Contact Information

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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

28 years registered in the securities industry

Current & Past Employments

Current

SMITH, MOORE & CO.Current·CRD# 3441

RIA

BD

534 Court Street, Fulton, MO 65251

February 5, 2021 - Present

SMITH, MOORE & CO.Current·CRD# 3441

RIA

BD

534 Court Street, Fulton, MO 65251

February 5, 2021 - Present

Past

CETERA INVESTMENT ADVISERS LLCPast·CRD# 105644

RIA

Fulton, MO

January 21, 2014 - February 5, 2021

CETERA INVESTMENT SERVICES LLCPast·CRD# 15340

BD

Fulton, MO

December 2, 1998 - February 5, 2021

CETERA INVESTMENT SERVICES LLCPast·CRD# 15340

RIA

Fulton, MO

June 6, 2011 - January 21, 2014

EDWARD JONESPast·CRD# 250

BD

St. Louis, MO

January 6, 1998 - October 12, 1998

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Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Contact Information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone Number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

65

SEC notice filing (36 States and Territories)

Registered to provide investment advisory services in 36 US states and territories.

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 36 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2026)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2026)

Direct owners and executive officers

Name	Position	CRD#
DEUTSCH, STEWART JAMES JR	PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR	2537447
SCHULTE, TIMOTHY EUGENE	CHAIRMAN OF THE BOARD, DIRECTOR	1869986
RHYNER, RANDALL PAUL	EXECUTIVE VICE PRESIDENT, DIRECTOR	2443274
SCHMIDT, KENT CHARLES	EXECUTIVE VICE PRESIDENT, DIRECTOR	2153325
BRAGG, MATTHEW EDWARD	EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR	2279799
BRODY, AMY LYNN	CHIEF FINANCIAL OFFICER, FINOP	6486826
KRAFT, BARBARA ANN	CHIEF OPERATING OFFICER	1225082
MORAN, DANIEL PATRICK	CHIEF TECHNOLOGY OFFICER	2685632
PERRYMAN, JARET DALIN	CHIEF COMPLIANCE OFFICER	3034594

Regulatory Assets Under Management

Total Number of Accounts

5,865

AUM (Assets Under Management)

$2,371,739,897

Disclosures

Regulatory Event

7

Arbitration

2

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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.

FARMING, 12/1986, OWNER, NON INVESTMENT RELATED, COMPENSATION BASED ON SALES. 2649 STATE RD., KINGDOM CITY, MO 65262, 15 HOURS A MONTH, 5 HOURS DURING SECURITIES HOURS

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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".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

BD

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(2/5/2021)

RR

Arkansas
(3/14/2023)

RR

Iowa
(7/17/2025)

RR

Kansas
(2/5/2021)

RR

Maryland
(2/5/2021)

RR

Missouri
(2/5/2021)

IAR

Missouri
(2/5/2021)

RR

New Mexico
(2/5/2021)

RR

Ohio
(4/28/2026)

RR

Texas
(3/9/2021)

RR

Wisconsin
(9/20/2022)

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.