SS
Spencer T. Smith
FINANCIAL MANAGEMENT
Little Rock, AR 72201
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CRD#: 8032707
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Professional summary
Spencer Thomas Smith is a registered financial advisor currently at FINANCIAL MANAGEMENT, INC. located in Little Rock, Arkansas.
Spencer is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2025. Spencer has worked at 1 firm and has passed the Series 65 exam.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Spencer Thomas 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®
NoneExperience
Current
March 24, 2025 - Present
FINANCIAL MANAGEMENT, INC.
Office #1: 521 President Clinton Avenue Suite 800, Little Rock, AR 72201RIA
CRD#: 108350
Little Rock, 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".
FM
FINANCIAL MANAGEMENT, INC.
FINANCIAL MANAGEMENT INC | FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
RIA
Registered Investment Advisory firm - (10/11/2022 Approved)Alabama
Registered Investment Advisory firm - (12/5/2022 Terminated)Arkansas
Registered Investment Advisory firm - (12/5/2022 Terminated)Indiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/23/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)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
Arkansas(3/24/2025)
Current Firm
FM
FINANCIAL MANAGEMENT, INC.
FINANCIAL MANAGEMENT INC | FINANCIAL MANAGEMENT, INC.
CRD#: 108350 / SEC#: 801-126707
RIA
Registered Investment Advisory firm - (10/11/2022 Approved)Alabama
Registered Investment Advisory firm - (12/5/2022 Terminated)Arkansas
Registered Investment Advisory firm - (12/5/2022 Terminated)Indiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Louisiana
Registered Investment Advisory firm - (12/5/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/23/2019 Terminated)South Carolina
Registered Investment Advisory firm - (12/5/2022 Terminated)Texas
Registered Investment Advisory firm - (12/5/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4007 N. Rodney Parham Road, Little Rock, AR 72212
Mailing Address
P. O. Box 17590, Little Rock, AR 72222-7590
Phone number
(501) 227-7400
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 181,181,011 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FINANCIAL MANAGEMENT, INC.
CRD#: 108350Little Rock, AR 72201TRUST BUT VERIFY
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