Grant Smith
WATERLOO CAPITAL
ROGERS, AR 72758
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CRD#: 6487719
Professional summary
Grant Smith, CFP® is a registered financial advisor currently at WATERLOO CAPITAL located in Rogers, Arkansas and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Grant has worked at 3 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.) LIGHTHOUSE FINANCIAL - 5/1/2015 - 3614 W Southern Hills Blvd, Suite 102, Rogers, AR 72758 - Advisor & Senior Partner & Insurance Licensed, Sales, Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) WATERLOO CAPITAL - 11/10/2023 - 2700 Via Fortuna, Suite 100, Austin, TX 78746, IAR, Invt Rel, RA Business, 10 hrs/mo; 10 hrs/mo (during trading hours). 3.) SMITH FINANCIAL CONSULTING LLC - 1/1/2023 - 3614 W Southern Hills Blvd, Suite 102, Rogers, AR 72758 - Owner, Financial advice, Invt Rel, Financial consulting, 150 hrs/mo; 150 hrs/mo (during trading hours) 4.) LIGHTHOUSE FINANCIAL ADVISORS LLC OWNER FINANCIAL PLANNING SINCE 01/2024 INVESTMENT RELATED
CRS (Client Relationship Summary) - RIA
Click below to view Grant 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®
CFP®
Start date: 2020
Experience
Current
November 10, 2023 - Present
WATERLOO CAPITAL
Office #1: 3614 W. Southern Hills Blvd Suite 102, Rogers, AR 72758RIA
CRD#: 133705
ROGERS, AR
Current
December 5, 2023 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
December 3, 2015 - November 30, 2023
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROGERS, AR
Past
July 1, 2015 - November 30, 2023
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROGERS, AR
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".
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
Registered Investment Advisory firm - (3/11/2005 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
Arizona(7/30/2025)
IAR
Arkansas(11/10/2023)
RR
Arkansas(12/20/2023)
RR
Louisiana(12/5/2023)
RR
Missouri(5/30/2025)
RR
North Carolina(7/2/2025)
RR
Pennsylvania(7/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT
CRD#: 133705 / SEC#: 801-63975
RIA
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Contact information
Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,775 |
| AUM (Assets Under Management) | $ 1,686,618,820 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
