Susan D. Smith

BONNER & SMITH

Lubbock, TX 79424

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CRD#: 3074054

Professional summary

Susan Denise Smith, CFP®, who also goes by Susan Denise Mayes, is a registered financial advisor currently at BONNER & SMITH, LLC located in Lubbock, Texas.

Susan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Susan has worked at 2 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Susan Denise Mayes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Denise 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®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Current

July 13, 2002 - Present

BONNER & SMITH, LLC

Office #1: 5308 114th St, Lubbock, TX 79424

RIA

CRD#: 114287

Lubbock, TX

Past

March 28, 2000 - July 12, 2002

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

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".

BONNER & SMITH, LLC

BONNER & SMITH, LLC | RAYMOND KEITH BONNER | MUTUAL FUND STRATEGIES

CRD#: 114287 / SEC#: 801-81163

RIA

Registered Investment Advisory firm - (3/18/2015 Approved)

New Mexico

Registered Investment Advisory firm - (3/20/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2015 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

New Mexico
(2/7/2012)

IAR

Texas
(7/13/2002)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/24/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/29/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/27/2000

General Securities Representative Examination

Current Firm

BONNER & SMITH, LLC

BONNER & SMITH, LLC | RAYMOND KEITH BONNER | MUTUAL FUND STRATEGIES

CRD#: 114287 / SEC#: 801-81163

RIA

Registered Investment Advisory firm - (3/18/2015 Approved)

New Mexico

Registered Investment Advisory firm - (3/20/2015 Terminated)

Texas

Registered Investment Advisory firm - (3/20/2015 Terminated)

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Contact information

Main Address

5308 114th St, Lubbock, TX 79424

Mailing Address

Phone number

(806) 798-1880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,053
AUM (Assets Under Management)	$ 262,323,428

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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Susan D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Susan Denise Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

BONNER & SMITH, LLC

QUEST CAPITAL STRATEGIES, INC.

Primary Firm SEC Registration

BONNER & SMITH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/24/2002

Series 63

Date: 5/29/1998

Series 7

Date: 3/27/2000

Current Firm

BONNER & SMITH, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BONNER & SMITH, LLC

TRUST BUT VERIFY

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