Keith L. Smith

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CRD#: 3213221

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Keith Lee Smith, who also goes by Keith L Smith, was a registered financial professional .

Keith is a previously registered financial professional and started their career in finance in 2006. Keith had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 3 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith L 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 16, 2014 - February 26, 2018

M. E. ALLISON & CO., INC.

RIA

CRD#: 1047

CORPUS CHRISTI, TX

Past

April 16, 2014 - February 26, 2018

M. E. ALLISON & CO., INC.

CRD#: 1047

CORPUS CHRISTI, TX

Past

January 21, 2014 - May 6, 2014

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

SCHAUMBURG, IL

Past

June 17, 2010 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

CORPUS CHRISTI, TX

Past

June 17, 2010 - May 6, 2014

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

CORPUS CHRISTI, TX

Past

October 11, 2006 - October 6, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CORPUS CHRISTI, TX

Past

September 20, 2006 - October 6, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CORPUS CHRISTI, TX

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".

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 10/10/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 2/26/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/19/2006

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 3/5/1999

National Commodity Futures Examination

Principal/Supervisory Exam

Series 30

Date: 3/5/1999

NFA Branch Manager Examination

Current Firm

M. E. ALLISON & CO., INC.

CRD#: 1047 / SEC#: 801-129805, 8-1402

RIA

Registered Investment Advisory firm - SEC (3/29/2024 Approved)

Texas

Registered Investment Advisory firm - SEC (7/8/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

950 East Basse Road Second Floor, San Antonio, TX 78209

Mailing Address

950 East Basse Road Second Floor, San Antonio, TX 78209-1831

Phone number

(210) 930-4000

Established

Texas since 03/09/1946

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MEA FORM ADV PART 2A (3/24/2025)

Direct owners and executive officers

Name	Position	CRD#
ALLISON, CHARLES BENNETT	DIRECTOR	4615330
ALLISON, CHRISTOPHER RUMSEY	CEO/CCO	2278380
MURPHY, LINDE ALLEN	PRESIDENT/CCO	4049529

Regulatory assets under management

Total Number of Accounts	405
AUM (Assets Under Management)	$ 287,435,346

Disclosures

Regulatory Event

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

Keith L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

M. E. ALLISON & CO., INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

M. E. ALLISON & CO., INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/10/2006

SIE

Date: 2/26/2018

Series 7

Date: 9/19/2006

Series 3

Date: 3/5/1999

Series 30

Date: 3/5/1999

Current Firm

M. E. ALLISON & CO., INC.

Contact information

SEC notice filing (2 States and Territories)

FINRA licenses (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

M. E. ALLISON & CO., INC.

TRUST BUT VERIFY

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