Thomas Matthew Smith
Professional Summary
Thomas Matthew Smith, who also goes by Thomas M Smith, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1980 - 2002. Thomas had worked at 13 firms and has passed the Series 63, Series 65, Series 55, Series 7, Series 4, Series 27, Series 24 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas M Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
BACK BAY CAPITAL, INC. | VANWAY SECURITIES, INCORPORATED
Contact Information
Established
Alabama since 02/25/1980Firm Type
CorporationFiscal Year End
MarchDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ACCESS PARTNERS, LLC | OWNER | — |
| CARAZOLEZ, ALBERT TOMMIE | PRESIDENT/CHIEF COMPLIANCE OFFICER | 2204105 |
| GOROS, WILLIAM FREDERICK | VICE PRESIDENT | — |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2002Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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