Thomas Patrick Smith
CLU®Professional Summary
Thomas Patrick Smith, CLU®, who also goes by Pat Smith, is a registered financial advisor currently at LEGACY WEALTH MANAGEMENT, LLC located in Southlake, Texas. Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Thomas has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pat Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
ALTRUIST ADVISORS | PLLAR CAPITAL, LLC | PATHWAY ADVISORS, LLC | LWM,LLC | LEGACY WEALTH MANAGEMENT, LLC | LEGACY INTEGRATED, LLC | BIG LIFE FINANCIAL, LLC | AXIOM WEALTH SOLUTIONS, LLC | ALTURA PRIVATE WEALTH
Contact Information
Main Address
13965 W. Chinden Blvd. Suite 100, Boise, ID 83713Phone Number
(208) 955-0500# of Employees
39SEC notice filing (42 States and Territories)
Registered to provide investment advisory services in 42 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,269AUM (Assets Under Management)
$629,031,199Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/20/2026 | Cover Page | Report |
| 09/16/2025 | Cover Page | Report |
| 02/12/2025 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ALTRUIST ADVISORS | PLLAR CAPITAL, LLC | PATHWAY ADVISORS, LLC | LWM,LLC | LEGACY WEALTH MANAGEMENT, LLC | LEGACY INTEGRATED, LLC | BIG LIFE FINANCIAL, LLC | AXIOM WEALTH SOLUTIONS, LLC | ALTURA PRIVATE WEALTH
State Registrations and Notice Filings
(5/23/2024)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2000About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Thomas Patrick Smith's CRS (Customer Relationship Summary).
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