Owen Burns

SMITH GROUP ASSET MANAGEMENT

Dallas, TX 75201

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CRD#: 6133738

Professional summary

Owen Burns, who also goes by Owen P Burns, Owen Burns, is a registered financial advisor currently at SMITH GROUP ASSET MANAGEMENT, LLC located in Dallas, Texas and CANTOR FITZGERALD & CO. located in New York, New York.

Owen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Owen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 52, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Owen P Burns | Owen Burns

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 Owen Burns'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

January 3, 2023 - Present

SMITH GROUP ASSET MANAGEMENT, LLC

Office #1: 100 Crescent Court, Dallas, TX 75201

RIA

CRD#: 313265

Dallas, TX

Current

September 28, 2021 - Present

CANTOR FITZGERALD & CO.

Office #1: 110 East 59th Street 5th Floor Dcm, New York, NY 10022

CRD#: 134

New York, NY

Past

September 28, 2021 - January 3, 2023

CANTOR FITZGERALD INVESTMENT ADVISORS

RIA

CRD#: 159296

BIRMINGHAM, AL

Past

October 5, 2016 - September 27, 2021

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA

CRD#: 110476

Birmingham, AL

Past

May 15, 2014 - September 27, 2021

BBVA SECURITIES INC.

CRD#: 27060

BIRMINGHAM, AL

Past

November 27, 2012 - April 7, 2014

NEW ENGLAND SECURITIES

CRD#: 615

BIRMINGHAM, AL

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".

SMITH GROUP ASSET MANAGEMENT, LLC

SMITH ASSET GROUP MANAGEMENT, LLC | SMITH GROUP ASSET MANAGEMENT, LLC | SMITH ASSET MANAGEMENT GROUP

CRD#: 313265 / SEC#: 801-120777

RIA

Registered Investment Advisory firm - (5/5/2021 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.

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

Alabama
(9/28/2021)

IAR

Alabama
(1/3/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/30/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/16/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 52

Date: 6/12/2017

Municipal Securities Representative Examination

General Industry/Product Exam

Series 7

Date: 6/7/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/25/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/30/2017

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/2/2017

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

SMITH GROUP ASSET MANAGEMENT, LLC

SMITH ASSET GROUP MANAGEMENT, LLC | SMITH GROUP ASSET MANAGEMENT, LLC | SMITH ASSET MANAGEMENT GROUP

CRD#: 313265 / SEC#: 801-120777

RIA

Registered Investment Advisory firm - (5/5/2021 Approved)

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Contact information

Main Address

100 Crescent Court, Dallas, TX 75201

Mailing Address

Phone number

(214) 880-4600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SMITH GROUP ASSET MANAGEMENT, LLC ADV PART 2 (5/8/2025)

Regulatory assets under management

Total Number of Accounts	1,509
AUM (Assets Under Management)	$ 1,714,189,276

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

Owen Burns

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Owen Burns's CRS (Customer Relationship Summary).

Certified licenses

Experience

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD INVESTMENT ADVISORS

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

SMITH GROUP ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2016

Series 63

Date: 12/16/2012

SIE

Date: 10/1/2018

Series 52

Date: 6/12/2017

Series 7

Date: 6/7/2016

Series 6

Date: 11/25/2012

Series 53

Date: 6/30/2017

Series 24

Date: 5/2/2017

Cboe BYX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq ISE, LLC

Nasdaq Stock Market

Current Firm

SMITH GROUP ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SMITH GROUP ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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