Terence O. Smith
Professional summary
Terence Owen Smith, who also goes by Terence O Smith, Terence Owen Smith, Terry Smith, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Flagstaff, Arizona.
Terence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Terence has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Terence Owen Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Terence Owen Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 10, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
November 3, 2020 - Present
PLANMEMBER SECURITIES CORPORATION
July 17, 2013 - November 4, 2020
SECURITIES AMERICA ADVISORS, INC.
September 29, 2010 - November 4, 2020
SECURITIES AMERICA, INC.
March 3, 2010 - November 16, 2010
HORACE MANN INVESTORS, INC.
February 27, 2008 - May 9, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 13, 2003 - March 7, 2008
VALIC FINANCIAL ADVISORS, INC.
February 13, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
February 13, 2001 - March 7, 2008
VALIC FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/3/2020)
(11/10/2020)
(3/29/2024)
(11/3/2020)
(11/3/2020)
(11/3/2020)
(9/30/2025)
Exams
FINRA
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
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.
