Earnest R. Smith
TRUIST ADVISORY SERVICES | Senior Managing Director, Financial Advisor with The Smith Group
SUITE 620, TN 37203
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CRD#: 3188681
Professional summary
Earnest Ruby Smith III, CFP®, ChFC®, CIMA®, CPWA®, who also goes by Trey Smith, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Suite 620, Tennessee and TRUIST INVESTMENT SERVICES, INC. located in Nashville, Tennessee.
Earnest is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Earnest has worked at 5 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Biography
Trey Smith is Financial Advisor with Truist Investment Services, Inc. based in Nashville, TN. He offers over 20 years of experience in financial services, retirement planning, investment management, and more. He has his CFP®, CIMA®, CPWA®, ChFC®, and CRPC®. In addition to having completed a Life Planning course with the Kinder Institute.
Trey\\'s mission is to work collaboratively with clients by making sure their goals and aspirations are reflected in their financial plans and by assisting with the growth and preservation of their hard-earned assets. Once he understands what is most important to a client, he works alongside his team to advance where client\\'s want to go and how to get there. Our customized solutions revolve around a disciplined process that utilizes diversified investment products and third-party managers to obtain measurable results.
The Smith Group specializes in working with successful individuals, families, and institutions to provide solutions and resources to address their financial goals. We are dedicated to providing exceptional, attentive, and customized service. We pride ourselves on building lasting, long-term relationships with our clients.
In addition to Trey\\'s B.A. in Economics from the University of Illinois, he also completed the Executive MBA program at Vanderbilt University\\'s Owen Graduate School of Management.
He is also a member of the Financial Planning Association. In addition to having published several articles on CNBC.com, he has been a guest lecturer at Vanderbilt University, and has spoken for the National Business Institute.
Trey also is the author of two books; Money Does Grow on Trees: Family Trees” and “The Tips, Tricks, and $ Advice They Don’t Teach You in College. The books are part of his Wealth & Family Book Series.
He has been recognized as one of the Barron’s and Financial Times Top Financial Advisors for 2016, 2017, 2018, 2019, and 2020.
In his spare time, Trey enjoys spending time with his family. He and his wife, Dianne, have 2 daughters, Katelyn and Larissa. He is also active in several community organizations and has been one of the acting class chairs for Harding Academy’s annual fund.
Question & Answer
What are your service offerings?
Financial planning
Trust & estate planning
Trading individual securities
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
Trey Smith
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.
POSITION: OWNER NATURE: WROTE A BOOK - WILL LIST IT FOR SALE AT AMAZON AND MAYBE A LOCAL BOOK RETAILER INVESTMENT RELATED: NO NUMBER OF HOURS: 1 INVESTMENT RELATED HOURS: 0 START DATE: 02/03/2015 ADDRESS: FRANKLIN TN DESCRIPTION: PUBLISHING AND LISTING THE BOOK FOR SALE POSITION: Outside speaking engagements for fees NATURE: Outside speaking engagements for fees INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/20/2016 ADDRESS: Nashville TN DESCRIPTION: Outside speaking engagements for fees. CONDO RENTAL POSITION: owner NATURE: Will become involved in the management of a family beach condo in HH. A third party will be engaged to handle the day-to-day operations including bookings. Very little actual activity required. We have expanded and also have Condos in Snowshoe WV and are opening one in Nashville, Tn. All partners are still family members. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/12/2018 ADDRESS: Hilton Head SC, United States DESCRIPTION: Hire management company and pay the bills PRIVATE DIRECTORS ASSOCIATION POSITION: Co-President NATURE: Not for profit education for Private directors INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 09/30/2024 ADDRESS: Chicago IL, United States DESCRIPTION: Organize meetings and educational components and committees.
CRS (Client Relationship Summary) - RIA
Click below to view Earnest Ruby Smith III'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: 2003
CPWA®
Start date: 2016-03-02
Expire date: 2024-10-31
Education
Business Administration and Management
2010 - 2012
Economics
1988 - 1993
Experience
Current
September 1, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 3322 W End Ave Fl 6, Suite 620, TN 37203RIA
CRD#: 283390
SUITE 620, TN
Current
August 29, 2005 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 3322 West End Ave Fl 6, Nashville, TN 37203BD
CRD#: 17499
Nashville, TN
Past
September 16, 2005 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
NASHVILLE, TN
Past
January 3, 2001 - August 24, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
April 29, 1999 - January 12, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 29, 1999 - January 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
Registered Investment Advisory firm - (5/18/2016 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.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(4/5/2017)
RR
Arizona(9/17/2024)
RR
California(7/29/2008)
RR
Colorado(3/5/2012)
RR
Connecticut(4/5/2017)
RR
Delaware(11/2/2021)
RR
District of Columbia(1/31/2023)
RR
Florida(9/1/2005)
RR
Georgia(2/19/2013)
RR
Idaho(3/17/2022)
RR
Illinois(7/27/2015)
RR
Indiana(1/20/2022)
RR
Kentucky(8/29/2005)
RR
Maryland(1/19/2017)
RR
Massachusetts(6/12/2019)
RR
Michigan(7/23/2019)
RR
Minnesota(6/17/2024)
RR
Mississippi(6/10/2024)
RR
Missouri(5/23/2024)
RR
Montana(1/7/2025)
RR
New Hampshire(8/12/2019)
RR
New Jersey(1/2/2024)
RR
New Mexico(4/5/2017)
RR
New York(4/5/2017)
RR
North Carolina(3/26/2014)
RR
Ohio(8/14/2014)
RR
Oklahoma(6/17/2024)
RR
Oregon(10/9/2020)
RR
Pennsylvania(8/6/2015)
RR
Puerto Rico(4/24/2024)
RR
South Carolina(9/8/2017)
RR
South Dakota(4/5/2023)
RR
Tennessee(9/1/2005)
IAR
Tennessee(9/1/2016)
RR
Texas(1/20/2016)
IAR
Texas(11/13/2017)
RR
Utah(6/10/2024)
RR
Vermont(6/26/2024)
RR
Virginia(10/26/2016)
RR
Washington(6/17/2024)
RR
West Virginia(12/9/2015)
RR
Wisconsin(2/5/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
RIA
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Contact information
Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
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Company Information
TRUIST ADVISORY SERVICES, INC.
Senior Managing Director, Financial Advisor with The Smith GroupCRD#: 283390Suite 620, TN 37203TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
