CS
Chris Smith
INTRUA FINANCIAL
Dallas, TX
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CRD#: 5451746
CS
Professional summary
Chris Smith is a registered financial advisor currently at INTRUA FINANCIAL located in Dallas, Texas and LPL FINANCIAL LLC located in Houston, Texas.
Chris is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Chris has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. CHRIS SMITH/ investment related/ Dallas, Tx / NON-VARIABLE INSURANCE / sales representative / 5 hours per month / 5 hours per month during trading hours / To sell insurance products
2. INTRUA FINANCIAL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ Houston, Tx / Brokerage services / Register Representative / 01/05/2021 / 8 hours per month / 8 hours during trading hours / to market brokerage services
3. 01/01/2008 - CRS FINANCIAL SERVICES/ DBA for Intrua financial/ INVESTMENT RELATED/ DALLAS, TX / this is to capture revenue from advisory activity / Owner/January 2008 / 155 hours per month / 155 hours during trading hours/ this entity was created for tax purposes
4. 1/12/2021 - Intrua Financial LLC - DBA: Intrua Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Intrua Financial LLC, an independent investment advisor firm. I started this business activity in 01/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Chris 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®
NoneExperience
Current
January 6, 2021 - Present
INTRUA FINANCIAL
RIA
CRD#: 281554
Dallas, TX
Current
January 6, 2021 - Present
LPL FINANCIAL LLC
Office #1: 3737 Buffalo Speedway Ste 400, Houston, TX 77098Office #2: 15660 Dallas Pkwy, Ste 860, Dallas, TX 75248RIA
BD
CRD#: 6413
Houston, TX
Past
January 17, 2017 - January 19, 2021
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LUBBOCK, TX
Past
October 7, 2014 - February 26, 2021
CWM, LLC
RIA
CRD#: 155344
Colleyville, TX
Past
March 27, 2008 - December 19, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
SOUTHLAKE, TX
Past
January 31, 2008 - January 19, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
SOUTHLAKE, TX
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".
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/27/2021)
RR
Illinois(3/15/2021)
RR
Missouri(1/26/2021)
RR
Oklahoma(1/27/2021)
RR
Texas(1/6/2021)
IAR
Texas(1/6/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INTRUA FINANCIAL
COMPASS WEALTH SOLUTIONS | WORKOPTIONAL | RANDY GILLESPIE & ASSOCIATES | OAKMONT FINANCIAL GROUP | JEFF PEACE FINANCIAL | INTRUA FINANCIAL LLC | INTRUA FINANCIAL ADVISORY SERVICES | INTRUA FINANCIAL | HORIZENT TEAM | FREEDOM WEALTH ALLIANCE | CORNERSTONE INVESTMENT STRATEGIES
CRD#: 281554 / SEC#: 801-106767
RIA
Registered Investment Advisory firm - (10/23/2015 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3737 Buffalo Speedway Suite 400, Houston, TX 77098
Mailing Address
Phone number
(713) 355-9910
Established
Firm type
Fiscal year end
# of Employees
48
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,051 |
| AUM (Assets Under Management) | $ 1,212,765,982 |
Red Flags
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