CS
Craig A. Smith
SYCAMORE FINANCIAL GROUP
Kokomo, IN 46902-4058
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CRD#: 810191
CS
Professional summary
Craig Allen Smith, CFP® is a registered financial advisor currently at SYCAMORE FINANCIAL GROUP located in Kokomo, Indiana.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1975. Craig has worked at 3 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 5, Series 7, Series 14, Series 4, Series 27, Series 24 and Series 53 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.
H & W SMITH FARMS LLC 11201 SOUTH 1000 EAST GALVESTON, IN. 46932 THIS IS A GRAIN FARM AND NOT INVESTMENT RELATED. I AM A MEMBER OF THE LLC. START DATE IS 12/31/2010. I WORK APPROXIMATELY 2 HOURS A WEEK AND NOT DURING BUSINESS HOURS. I HELP WITH THE FARMING.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Allen Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Allen 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®
Start date: 1985
Experience
Current
December 16, 1998 - Present
SYCAMORE FINANCIAL GROUP
Office #1: 2713 Rockford Lane, Kokomo, IN 46902-4058RIA
BD
CRD#: 14143
Kokomo, IN
Current
January 7, 1984 - Present
SYCAMORE FINANCIAL GROUP
Office #1: 2713 Rockford Lane, Kokomo, IN 46902-4058RIA
BD
CRD#: 14143
Kokomo, IN
Past
December 24, 2020 - May 19, 2021
GOOGINS ADVISORS, INC
BD
CRD#: 13985
Kokomo, IN
Past
July 23, 1975 - December 2, 1983
K. J. BROWN & CO., INC.
BD
CRD#: 477
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".
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Arizona(9/17/2003)
RR
Colorado(3/20/2006)
RR
Florida(1/26/1989)
RR
Hawaii(11/19/2019)
RR
Illinois(4/22/1991)
RR
Indiana(11/21/1983)
IAR
Indiana(12/16/1998)
RR
Kansas(12/4/2006)
RR
Kentucky(5/15/1991)
RR
Michigan(5/8/1991)
RR
Nebraska(7/13/2006)
RR
New Mexico(5/31/2006)
RR
North Carolina(4/25/1991)
RR
Ohio(2/4/1991)
RR
Pennsylvania(2/28/1992)
RR
South Carolina(2/23/2007)
RR
Texas(5/3/2005)
IAR
Texas(11/19/2019)
RR
Virginia(11/15/2019)
RR
Wisconsin(1/23/2008)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SYCAMORE FINANCIAL GROUP
SMITH, GAYLOR, INC. | SYCAMORE FINANCIAL GROUP, INC. | SYCAMORE FINANCIAL GROUP
CRD#: 14143 / SEC#: 801-62788, 8-30302
RIA
Registered Investment Advisory firm - SEC (2/27/2004 Approved)Indiana
Registered Investment Advisory firm - SEC (7/24/2007 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
2713 Rockford Lane, Kokomo, IN 46902
Mailing Address
2713 Rockford Lane, Kokomo, IN 46902
Phone number
(765) 455-1554
Established
Indiana since 07/23/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
4
SEC notice filing (8 States and Territories)
FINRA licenses (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,937 |
| AUM (Assets Under Management) | $ 681,079,389 |
Disclosures
| Regulatory Event | 1 |
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.
