Adam W. Smith
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.
Adam Wade Smith was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 2000. Adam had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2017 - December 31, 2023
TORTOISEECOFIN SECURITIES, LLC
November 18, 2016 - December 13, 2023
TORTOISEECOFIN INVESTMENTS PARTNERS, LLC
November 5, 2015 - November 18, 2016
MONTAGE INVESTMENTS, LLC
November 5, 2015 - July 3, 2017
MSEC, LLC
May 2, 2014 - October 9, 2015
SCOUT INVESTMENTS, INC.
April 25, 2014 - October 9, 2015
DISTRIBUTION SERVICES, LLC
January 28, 2009 - April 7, 2014
IVY DISTRIBUTORS, INC.
October 22, 2007 - April 7, 2014
WADDELL & REED
August 25, 2000 - March 13, 2006
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TORTOISEECOFIN SECURITIES, LLC
CRD#: 285411 / SEC#: , 8-69849
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORTOISEECOFIN BORROWER LLC (FORMERLY TORTOISE BORROWER LLC) | OWNER | |
| BEHRENS, BRENT WAYNE | CFO | |
| BIRZER, HAROLD KEVIN | DIRECTOR | 1410255 |
| BONO, DIANE MARIE | DIRECTOR | 5157289 |
| ELLIOTT, KATHERINE ANN | CHIEF COMPLIANCE OFFICER/PRESIDENT | 5385921 |
| HENSON, GARY PAUL | DIRECTOR | 2130871 |
| JOHNSTON, MICHELLE ROSS | DIRECTOR | 4131976 |
| MCKEIGUE, MICHAEL SULLIVAN | MANAGING DIRECTOR, NATIONAL ACCOUNTS | 2857839 |
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.
