Thomas W. Smith

FAPA FINANCIAL SERVICES

Marietta, GA

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CRD#: 800397

Professional summary

Thomas William Smith, CFP® is a registered financial advisor currently at FAPA FINANCIAL SERVICES located in Marietta, Georgia.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Thomas has worked at 2 firms and has passed the Series 66 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William 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^®

Certified Financial Planner

Start date: 2009

Experience

Current

September 9, 2015 - Present

FAPA FINANCIAL SERVICES

RIA

CRD#: 170654

Marietta, GA

Past

August 20, 2008 - April 19, 2011

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

MARIETTA, GA

Past

August 7, 2008 - April 19, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

MARIETTA, GA

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.

Highlighted states indicate IAR registrations

IAR

Georgia
(9/9/2015)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/18/2008

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/6/2008

General Securities Representative Examination

Current Firm

FAPA FINANCIAL SERVICES

CYBERCOMPASS LLC | FAPA FINANCIAL SERVICES

CRD#: 170654 / SEC#: 801-101536

RIA

Registered Investment Advisory firm - (9/16/2021 Terminated)

Georgia

Registered Investment Advisory firm - (9/7/2021 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Marietta, GA

Mailing Address

2831 St Rose Parkway Suite 200, Henderson, NV 89052

Phone number

(404) 769-6144

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	25
AUM (Assets Under Management)	$ 5,850,334

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Thomas W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas William Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAPA FINANCIAL SERVICES

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2008

Series 7

Date: 8/6/2008

Current Firm

FAPA FINANCIAL SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FAPA FINANCIAL SERVICES

TRUST BUT VERIFY

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