Brooks Smith
Professional Summary
Brooks Smith, who also goes by Brooks Curtis Smith, is a registered financial advisor currently at LARSON FINANCIAL GROUP, LLC located in Fort Wayne, Indiana and LARSON FINANCIAL SECURITIES, LLC located in Fort Wayne, Indiana. Brooks is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Brooks has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Brooks Curtis Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
6 years in the financial services industry
Current & Past Employments
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Current Firm
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
Contact Information
Main Address
100 N Broadway Suite 1700, Saint Louis, MO 63102Phone Number
(866) 569-2450# of Employees
131SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
25,926AUM (Assets Under Management)
$5,481,842,388Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/11/2026 | Cover Page | Report |
| 04/14/2026 | Cover Page | Report |
| 08/08/2024 | Cover Page | Report |
| 12/13/2023 | Cover Page | Report |
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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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Primary Firm SEC Registration
LARSON FINANCIAL GROUP, LLC | WORK OPTIONAL | THE PHYSICIANS THRIVE | OAKMONT FINANCIAL GROUP | MIDWEST WEALTH MANAGEMENT | LIONSGATE ADVISORS
State Registrations and Notice Filings
(5/28/2026)
(5/28/2026)
(3/5/2026)
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(1/16/2026)
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(1/15/2026)
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(7/10/2024)
(2/28/2025)
(1/9/2026)
(1/8/2026)
(8/7/2026)
(2/6/2026)
(1/7/2026)
(8/25/2026)
(8/25/2026)
(5/28/2026)
(1/7/2026)
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(5/12/2026)
(8/19/2026)
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(2/22/2026)
(2/25/2026)
(1/9/2026)
(1/9/2026)
(9/10/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 2020About the Series 6TO examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Brooks Smith's CRS (Customer Relationship Summary).
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