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MS

Matthew S. Smith

TPG CAPITAL BD
Fort Worth, TX 76102
Some features on this profile are disabled
CRD#: 6847515
MS

Professional summary

Matthew Samuel Smith is a registered financial professional currently at TPG CAPITAL BD, LLC located in Fort Worth, Texas.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2017. Matthew has worked at 4 firms and has passed the Series 63, Series 3, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew Samuel 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

November 3, 2023 - Present

TPG CAPITAL BD, LLC

Office #1: 301 Commerce Street Ste 3300, Fort Worth, TX 76102Office #2: 245 Park Avenue 26th Floor, New York, NY 10167
BD
CRD#: 143876
Fort Worth, TX
Past

October 11, 2019 - September 22, 2022

PIMCO INVESTMENTS LLC

BD
CRD#: 154957
NEW YORK, NY
Past

January 2, 2019 - October 10, 2019

AQR INVESTMENTS, LLC

BD
CRD#: 289244
Greenwich, CT
Past

September 11, 2017 - December 31, 2018

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
GREENWICH, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Alabama
(11/3/2023)
RR
Alaska
(11/3/2023)
RR
Arizona
(11/3/2023)
RR
Arkansas
(11/3/2023)
RR
California
(11/3/2023)
RR
Colorado
(11/3/2023)
RR
Connecticut
(11/3/2023)
RR
Delaware
(11/3/2023)
RR
District of Columbia
(11/3/2023)
RR
Florida
(11/3/2023)
RR
Georgia
(11/3/2023)
RR
Hawaii
(11/3/2023)
RR
Idaho
(11/3/2023)
RR
Illinois
(11/3/2023)
RR
Indiana
(11/3/2023)
RR
Iowa
(11/3/2023)
RR
Kansas
(11/3/2023)
RR
Kentucky
(11/3/2023)
RR
Louisiana
(11/3/2023)
RR
Maine
(11/3/2023)
RR
Maryland
(11/3/2023)
RR
Massachusetts
(11/3/2023)
RR
Michigan
(11/3/2023)
RR
Minnesota
(11/3/2023)
RR
Mississippi
(11/3/2023)
RR
Missouri
(11/3/2023)
RR
Montana
(11/3/2023)
RR
Nebraska
(11/3/2023)
RR
Nevada
(11/3/2023)
RR
New Hampshire
(11/3/2023)
RR
New Jersey
(11/3/2023)
RR
New Mexico
(11/3/2023)
RR
New York
(11/3/2023)
RR
North Carolina
(11/3/2023)
RR
North Dakota
(11/3/2023)
RR
Ohio
(11/5/2023)
RR
Oklahoma
(11/3/2023)
RR
Oregon
(11/3/2023)
RR
Pennsylvania
(11/3/2023)
RR
Rhode Island
(11/3/2023)
RR
South Carolina
(11/3/2023)
RR
South Dakota
(11/3/2023)
RR
Texas
(11/3/2023)
RR
Utah
(11/3/2023)
RR
Vermont
(11/3/2023)
RR
Virginia
(11/3/2023)
RR
Washington
(11/3/2023)
RR
West Virginia
(11/3/2023)
RR
Wisconsin
(11/3/2023)
RR
Wyoming
(11/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 11/18/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2017
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TPG CAPITAL BD, LLC
TPG CAPITAL BD, LLC

CRD#: 143876 / SEC#: , 8-67616

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Mailing Address
301 Commerce Street Ste 3300, Fort Worth, TX 76102
Phone number
(817) 871-4000
Established
Texas since 03/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TPG BD ADVISORS, LLCSOLE MEMBER
DAVIDSON, MARTIN LOUISFINOP AND PRINCIPAL FINANCIAL OFFICER5330788
UMAYAM, MICHAELCHIEF COMPLIANCE OFFICER6814011
WEINGART, JACK CHARLESCEO1879144

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.

Company Information

TPG CAPITAL BD, LLC

CRD#: 143876Fort Worth, TX 76102

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