Patrick Smith

LAVACA CAPITAL

Houston, TX 77056

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CRD#: 5819406

Professional summary

Patrick Smith, CIMA®, who also goes by Patrick Andrew Smith, is a registered financial advisor currently at LAVACA CAPITAL, LLC located in Houston, Texas.

Patrick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Patrick has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Patrick Andrew Smith

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Smith's CRS (Customer Relationship Summary).

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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

February 15, 2018 - Present

LAVACA CAPITAL, LLC

Office #1: 2700 Post Oak Blvd. Suite 1250, Houston, TX 77056

RIA

CRD#: 167238

Houston, TX

Past

June 26, 2018 - December 8, 2023

SUNBELT SECURITIES, INC.

CRD#: 42180

Houston, TX

Past

September 17, 2015 - January 30, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

HOUSTON, TX

Past

September 17, 2015 - January 30, 2018

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

HOUSTON, TX

Past

August 27, 2010 - September 22, 2015

EDWARD JONES

RIA

CRD#: 250

HOUSTON, TX

Past

August 13, 2010 - September 22, 2015

EDWARD JONES

CRD#: 250

HOUSTON, 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".

LAVACA CAPITAL, LLC

CRD#: 167238 / SEC#: 801-113042

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Texas

Registered Investment Advisory firm - (6/25/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Texas
(2/15/2018)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/26/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2010

General Securities Representative Examination

Current Firm

LAVACA CAPITAL, LLC

CRD#: 167238 / SEC#: 801-113042

RIA

Registered Investment Advisory firm - (4/30/2018 Approved)

Texas

Registered Investment Advisory firm - (6/25/2018 Terminated)

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Contact information

Main Address

2700 Post Oak Blvd. Suite 1250, Houston, TX 77056

Mailing Address

Phone number

(713) 904-4027

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LAVACA CAPITAL, LLC - ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 421,041,365

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.

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Advisor Monitoring

Firm Stability Insights

Patrick Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SUNBELT SECURITIES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

LAVACA CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2010

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2010

Current Firm

LAVACA CAPITAL, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LAVACA CAPITAL, LLC

TRUST BUT VERIFY

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