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Adam Curry Smith

CRD# 4542903·Registered 2002 - 2022
Previously Registered: Being a previously registered professional could mean that Adam 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.

Professional Summary

Adam Curry Smith was a registered financial advisor. Adam was a previously registered financial professional and started their career in finance 2002 - 2022. Adam had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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

24 years in the financial services industry

Current & Past Employments

SENTINEL ADVISORS, LLC·CRD# 291606
RIA
Rogers, AR
March 7, 2018 - October 9, 2022
CABANA ASSET MANAGEMENT·CRD# 151418
RIA
Fayetteville, AR
June 21, 2017 - October 30, 2017
CABANA ASSET MANAGEMENT·CRD# 151418
RIA
Fayetteville, AR
June 21, 2016 - June 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Rogers, AR
January 14, 2005 - June 3, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
Rogers, AR
January 14, 2005 - June 3, 2016
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
RIA
Rogers, AR
February 24, 2004 - December 15, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.·CRD# 16361
BD
Boston, MA
February 24, 2004 - December 15, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
RIA
Rogers, AR
July 3, 2003 - February 9, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
November 14, 2002 - February 9, 2004

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Current Firm

SA
SENTINEL ADVISORS, LLC

SENTINEL ADVISORS, LLC

CRD#: 291606

Contact Information

Main Address

6 Halsted Circle Suite 11, Rogers, AR 72758

Phone Number

(479) 442-6464

# of Employees

2

Documents

Latest Form ADV

Regulatory Assets Under Management

Total Number of Accounts

130

AUM (Assets Under Management)

$11,800,000

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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.

1.)Adam Curry Smith is a licensed insurance agent - Investment related - 220 S. School Ave. Fayetteville, AR 72701 2.) FINIAT, non-investment related, 2338 Immokalee Rd, Ste 166, Naples, FL 34110, Financial services software for portfolio management and risk management, Board Member, Consultant, 1099 Sub Contractor, Start Date 02/2021, approximately 10 hours/month devoted to this business with 5 hours during securities trading hours, Consulting for a Financial Services firm on their software that they sell to RIA's. Helping set up a sales team and branding for FINIAT, along with marketing and core strategies

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2003About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2002About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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