Thad F Smith
Professional Summary
Thad F Smith, who also goes by Thad Frensley Smith, Thad Frensley Smith, is a registered financial advisor currently at DURATION ASSET MANAGEMENT, LLC located in Dallas, Texas and SMITH CAPITAL MARKETS, LLC. located in Dallas, Texas. Thad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Thad has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Financial Planning
Other Aliases
Thad Frensley Smith, Thad Frensley Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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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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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
DURATION ASSET MANAGEMENT, LLC
Contact Information
Main Address
8333 Douglas Ave Suite 1450, Dallas, TX 75225Phone Number
(214) 420-0300# of Employees
3SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7AUM (Assets Under Management)
$1,584,640,190Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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
DURATION ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(4/17/2024)
(4/17/2024)
(4/17/2024)
(4/17/2024)
(4/17/2024)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Thad F Smith's CRS (Customer Relationship Summary).
Services Offered by Thad
- Financial Planning
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