Matthew C. Smith

HALTER FERGUSON FINANCIAL

Plymouth, MI

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CRD#: 5922356

Professional summary

Matthew Charles Smith, who also goes by Matt Smith, is a registered financial advisor currently at HALTER FERGUSON FINANCIAL INC located in Plymouth, Michigan.

Matthew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Matthew has worked at 2 firms and has passed the Series 65, Series 63 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Matt 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.

Good Soil Investment Management, LLC Investment Related - Yes 37 Commercial Blvd Suite 101, Novato, CA 94949 Nature of the Business - Exempt Reporting Adviser Position - Managing Member Start Date - 05/2021 Less than 10 hours/month devoted to this business Less than 10 hours/month devoted to this business during trading hours Minority ownership

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Matthew Charles 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®

None

Experience

Current

May 1, 2023 - Present

HALTER FERGUSON FINANCIAL INC

RIA

CRD#: 109563

Plymouth, MI

Past

June 28, 2011 - March 22, 2013

P & M CORPORATE FINANCE, LLC

CRD#: 129624

CHICAGO, IL

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".

HALTER FERGUSON FINANCIAL INC

CRD#: 109563 / SEC#: 801-57288

RIA

Registered Investment Advisory firm - (2/18/2000 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.

Highlighted states indicate IAR registrations

IAR

Indiana
(5/1/2023)

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 65

Date: 10/10/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79

Date: 6/27/2011

Investment Banking Registered Representative Examination

Current Firm

HALTER FERGUSON FINANCIAL INC

CRD#: 109563 / SEC#: 801-57288

RIA

Registered Investment Advisory firm - (2/18/2000 Approved)

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Contact information

Main Address

13080 Grand Blvd. Suite 130, Carmel, IN 46032

Mailing Address

Phone number

(317) 875-0202

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 022625 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	950
AUM (Assets Under Management)	$ 487,810,150

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/16/2022	Cover Page	Report

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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Matthew C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

HALTER FERGUSON FINANCIAL INC

P & M CORPORATE FINANCE, LLC

Primary Firm SEC Registration

HALTER FERGUSON FINANCIAL INC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/10/2022

Series 63

Date: 8/31/2011

Series 79

Date: 6/27/2011

Current Firm

HALTER FERGUSON FINANCIAL INC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HALTER FERGUSON FINANCIAL INC

TRUST BUT VERIFY

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