TS
Thomas C. Smith
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CRD#: 429051
TS
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.
Thomas Curtis Smith was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1969. Thomas had worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 7TO, SIE, Series 31, Series 1, Series 24, Series 53, Series 4 and Series 40 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1) Flatwater Development LLC; investment related; Valley, NE; real estate; member; 3/30/17; zero hrs; zero hrs during securities trading hours; no duties. 2) Smith & Hall Desert Properties LLC; investment related; Palm Springs, CA; real estate; member; 3/5/16; zero hrs; zero hrs during securities trading hours; no duties. 3) TS Development LLC; investment related; Lincoln, NE; real estate; member; 3/30/17; zero hrs; zero hrs during securities trading hours; no duties. 4) Arena Partners; non-investment related; Lincoln, NE; Partnership; Partner; 08/1/15; zero hrs; zero hrs during securities trading hours; no duties. 5) Stem Gallery; non-investment related; Lincoln, NE; Gift & Flower shop; Lender; 3/13/12; zero hrs; zero hrs during securities trading hours; no duties. 6) 54th and PLR LLC; investment related; Lincoln, NE; real estate; member; 5/1/10; zero hrs; zero hrs during securities trading hours; no duties. 7) Vine Street Partners; investment related; Lincoln, NE; Partnership; Partner; 6/1/85; zero hrs; zero hrs during securities trading hours; no duties. 8) Teton Investments LLC; investment related; Lincoln, NE; real estate; Managing member; 6/1/90; zero hrs; zero hrs during securities trading hours; no duties. 9) T & L, LLC; investment related; Lincoln, NE; real estate; Managing member; 5/22/03; zero hrs; zero hrs during securities trading hours; no duties. 10) Stockmans Financial, Inc.; non-investment related; Lincoln, NE; Bank Holding Co.; Director; 5/1/06; 3 hr/quarterly; zero hrs during securities trading hours; responsible for setting policy. 11) Ringneck Development LLC; investment related; Omaha, NE; real estate; Member; 6/12/92; zero hrs; zero hrs during securities trading hours; no duties. 12) Pine Lake Development, Inc.; investment related; Lincoln, NE; real estate; Shareholder; 1/10/00; zero hrs; zero hrs during securities trading hours; no duties. 13) Foundation for Education; non-investment related; Lincoln, NE; Corporation; Board Member; 2/1/03; 2 hr/mo; zero hrs during securities trading hours; duties include setting policy and attending meetings. 14) Hastings Development; investment related; Lincoln, NE; real estate; Owner; 2/1/80; zero hrs; zero hrs during securities trading hours; no duties. 15) Centre Terrace LLC; investment related; Lincoln, NE; real estate; Owner; 6/1/90; conduct board meetings. 16) Belmont Partners; investment related; Lincoln, NE; real estate; Partner; 4/1/85; zero hrs; zero hrs during securities trading hrs; no duties. 17) Aspen Investments, LLC; investment related; Lincoln, NE; real estate; Member; 3/27/17; zero hrs during securities trading hrs; no duties. 18) 68th St Partners; investment related; Lincoln, NE; real estate; Member; 5/1/07; zero hrs; zero hrs during securities trading hrs; no duties. 19) Educationquest; non-investment related; Lincoln, NE; Corporation; Director; 2/14/18; 2 hr/quarterly; zero hrs during securities trading hours; responsible for setting policy.
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®
NoneExperience
Past
August 1, 2016 - December 31, 2023
D.A. DAVIDSON & CO.
RIA
CRD#: 199
LINCOLN, NE
Past
July 25, 2016 - December 31, 2023
D.A. DAVIDSON & CO.
BD
CRD#: 199
LINCOLN, NE
Past
December 18, 1997 - July 28, 2016
SMITH HAYES ADVISERS INC
RIA
CRD#: 110776
LINCOLN, NE
Past
December 18, 1985 - July 25, 2016
SMITH HAYES FINANCIAL SERVICES CORPORATION
BD
CRD#: 17059
LINCOLN, NE
Past
December 19, 1983 - January 1, 1986
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
Past
January 17, 1969 - September 15, 1973
FIRST MID AMERICA CORPORATION
BD
CRD#: 5001
Past
January 17, 1969 - December 19, 1983
FIRST MID-AMERICA INC.
BD
CRD#: 306
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".
D.A. DAVIDSON & CO.
CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED
CRD#: 199 / SEC#: 801-45761, 8-2399
RIA
Registered Investment Advisory firm - SEC (2/8/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/22/1968
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 40
Date: 10/13/1977
Registered Principal ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CROWELL, WEEDON & CO., A DIVISION OF D.A. DAVIDSON & CO. | D.A. DAVIDSON & CO. | D. A. DAVIDSON & CO. INCORPORATED
CRD#: 199 / SEC#: 801-45761, 8-2399
RIA
Registered Investment Advisory firm - SEC (2/8/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
8 Third Street North, Great Falls, MT 59401
Mailing Address
P.o. Box 5015, Great Falls, MT 59403-5015
Phone number
(406) 727-4200
Established
Montana since 05/01/1935
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
650
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
