TS
Thomas P. Smith
LEGACY WEALTH MANAGEMENT
Southlake, TX 76092
Some features on this profile are disabled
CRD#: 429070
TS
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pat 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.
(1) BERING FINANCIAL, LLC; D/B/A; 1500 Corporate Circle, #11, SOUTHLAKE, TX 76092; BERINGFINANCIAL.COM; SALES AND SERVICE OF LIFE INSURANCE AND FIXED ANNUITIES; COMPENSATION IN THE FORM OF COMMISSIONS; 15 HOURS PER WEEK DURING NORMAL TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Patrick Smith'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®
Experience
Current
May 23, 2024 - Present
LEGACY WEALTH MANAGEMENT, LLC
Office #1: 1500 Corporate Cir., Southlake, TX 76092RIA
CRD#: 174767
Southlake, TX
Past
November 2, 2022 - May 23, 2024
REALTA INVESTMENT ADVISORS, INC
RIA
CRD#: 134952
SOUTHLAKE, TX
Past
November 2, 2022 - May 23, 2024
REALTA EQUITIES, INC.
BD
CRD#: 23769
SOUTHLAKE, TX
Past
August 12, 2022 - October 12, 2022
CAPITAL MARKETS IQ, LLC
RIA
CRD#: 134921
Arlington, TX
Past
April 10, 2018 - September 8, 2022
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
SOUTHLAKE, TX
Past
June 10, 2016 - August 1, 2017
CENTER STREET ADVISORS, INC.
RIA
CRD#: 169329
Arlington, TX
Past
May 31, 2016 - August 31, 2022
CENTER STREET SECURITIES, INC.
BD
CRD#: 26898
SOUTHLAKE, TX
Past
August 9, 2011 - June 3, 2016
TITAN SECURITIES
RIA
CRD#: 131392
ARLINGTON, TX
Past
August 9, 2011 - June 3, 2016
TITAN SECURITIES
BD
CRD#: 131392
ARLINGTON, TX
Past
June 16, 2011 - August 5, 2011
NFSG CORPORATION
RIA
CRD#: 130814
BEDFORD, TX
Past
June 29, 2010 - August 5, 2011
NEWBRIDGE SECURITIES CORPORATION
BD
CRD#: 104065
BEDFORD, TX
Past
August 22, 2000 - November 13, 2001
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
ANN ARBOR, MI
Past
July 19, 2000 - July 27, 2000
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
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".
LW
LEGACY WEALTH MANAGEMENT, LLC
ALTRUIST ADVISORS | PLLAR CAPITAL, LLC | PATHWAY ADVISORS, LLC | LWM,LLC | LEGACY WEALTH MANAGEMENT, LLC | BIG LIFE FINANCIAL, LLC | AXIOM WEALTH SOLUTIONS, LLC
CRD#: 174767 / SEC#: 801-113480
RIA
Registered Investment Advisory firm - (6/21/2018 Approved)Arizona
Registered Investment Advisory firm - (6/25/2018 Terminated)Colorado
Registered Investment Advisory firm - (7/3/2018 Terminated)Florida
Registered Investment Advisory firm - (6/25/2018 Terminated)Idaho
Registered Investment Advisory firm - (6/25/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2017 Terminated)Michigan
Registered Investment Advisory firm - (6/29/2018 Terminated)Texas
Registered Investment Advisory firm - (6/25/2018 Terminated)Utah
Registered Investment Advisory firm - (7/6/2018 Terminated)Washington
Registered Investment Advisory firm - (7/2/2018 Terminated)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.Highlighted states indicate IAR registrations
IAR
Texas(5/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LW
LEGACY WEALTH MANAGEMENT, LLC
ALTRUIST ADVISORS | PLLAR CAPITAL, LLC | PATHWAY ADVISORS, LLC | LWM,LLC | LEGACY WEALTH MANAGEMENT, LLC | BIG LIFE FINANCIAL, LLC | AXIOM WEALTH SOLUTIONS, LLC
CRD#: 174767 / SEC#: 801-113480
RIA
Registered Investment Advisory firm - (6/21/2018 Approved)Arizona
Registered Investment Advisory firm - (6/25/2018 Terminated)Colorado
Registered Investment Advisory firm - (7/3/2018 Terminated)Florida
Registered Investment Advisory firm - (6/25/2018 Terminated)Idaho
Registered Investment Advisory firm - (6/25/2018 Terminated)Maryland
Registered Investment Advisory firm - (12/21/2017 Terminated)Michigan
Registered Investment Advisory firm - (6/29/2018 Terminated)Texas
Registered Investment Advisory firm - (6/25/2018 Terminated)Utah
Registered Investment Advisory firm - (7/6/2018 Terminated)Washington
Registered Investment Advisory firm - (7/2/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
13965 W. Chinden Blvd. Suite 100, Boise, ID 83713
Mailing Address
Phone number
(208) 955-0500
Established
Firm type
Fiscal year end
# of Employees
41
SEC notice filing (42 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,728 |
| AUM (Assets Under Management) | $ 476,513,737 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/16/2025 | ||
| 02/12/2025 |
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.
