Thomas L. Smith
Professional summary
Thomas L Smith II, who also goes by Thomas Lloyd Smith II, Tom Smith Ii, is a registered financial advisor currently at ABG CONSULTANTS located in Westfield, Indiana.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
At a Glance
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Thomas L Smith II's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 14, 2026 - Present
ABG CONSULTANTS
February 26, 2020 - December 31, 2024
ONEAMERICA SECURITIES, INC.
February 26, 2020 - December 31, 2024
ONEAMERICA SECURITIES, INC.
December 20, 2017 - December 16, 2019
CAPITAL CLIENT GROUP, INC.
June 15, 2016 - December 16, 2019
CAPITAL CLIENT GROUP, INC.
Primary Firm SEC Registration
ABG CONSULTANTS
CRD#: 131129 / SEC#: 801-69619
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/14/2026)
Exams
Current Firm
ABG CONSULTANTS
CRD#: 131129 / SEC#: 801-69619
Contact information
SEC notice filing (41 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,898 |
| AUM (Assets Under Management) | $ 576,333,108 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2025 | ||
| 12/05/2024 | ||
| 12/07/2023 | ||
| 02/13/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
