Troy Landon Smith
Professional Summary
Troy Landon Smith is a registered financial advisor currently at MOMENTUM INDEPENDENT NETWORK INC. located in Salado, Texas. Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Troy has worked at 6 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
There are no additional aliases reported.
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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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Years of Experience
20 years in the financial services industry
Current & Past Employments
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Current Firm
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
Contact Information
Main Address
717 N. Harwood Street Suite 3400, Dallas, TX 75201Mailing Address
717 Harwood Street Suite 3400, Dallas, TX 75201Phone Number
(214) 859-1800Established
Texas since 01/07/1983Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
97SEC notice filing (50 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 50 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILLTOP SECURITIES HOLDINGS, LLC | PARENT | — |
| ALEXANDER, LAURA BONNELL | BOARD DIRECTOR | 2900382 |
| COYA, SCOTT ANDREW | CHIEF COMPLIANCE OFFICER | 2511281 |
| EDGE, JOSEPH MICHAEL | BOARD DIRECTOR | 4326551 |
| EDGE, JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER | 4326551 |
| LEVENTHAL, LAURA | TREASURER | 1175259 |
| LEVENTHAL, LAURA | BOARD DIRECTOR | 1175259 |
| MCCAFFREY, SCOTT EDWARD | MANAGING DIRECTOR - PRESIDENT OF MOMENTUM INDEPENDENT NETWORK INC. | 3076398 |
| MEDANICH, DAVID KING | BOARD DIRECTOR | 1030727 |
| WINGES, MARTIN BRADLEY | CEO | 1929509 |
| WINGES, MARTIN BRADLEY | CHAIRMAN OF THE BOARD | 1929509 |
| WITTNEBEN, BRIAN LANE | GENERAL COUNSEL/SECRETARY | 4861905 |
Regulatory Assets Under Management
Total Number of Accounts
4,721AUM (Assets Under Management)
$1,609,472,813Disclosures
Regulatory Event
10Arbitration
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/22/2026 | Cover Page | Report |
| 08/21/2025 | Cover Page | Report |
| 07/26/2024 | 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
BROKERS TRANSACTION SERVICES, INC. | SWS FINANCIAL SERVICES, INC. | SWS FINANCIAL SERVICES | SOUTHWEST INVESTMENT PROPERTIES, INC. | MOMENTUM INDEPENDENT NETWORK INC. | HILLTOP SECURITIES INDEPENDENT NETWORK INC.
State Registrations and Notice Filings
(7/29/2013)
(7/29/2013)
(7/29/2013)
(7/29/2013)
(7/29/2013)
(7/29/2013)
(11/30/2022)
(5/7/2026)
(1/22/2026)
(7/29/2013)
(7/29/2013)
(12/11/2020)
(8/12/2022)
(6/22/2021)
(6/10/2020)
(7/7/2020)
(7/30/2013)
(2/11/2022)
(7/8/2013)
(7/24/2019)
(6/10/2020)
(8/27/2021)
(7/29/2013)
(11/22/2022)
(2/6/2013)
(2/6/2013)
(7/8/2013)
(5/14/2025)
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.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 2005About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Troy Landon Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy Landon Smith's CRS (Customer Relationship Summary).
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