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Gary Smith is a registered investment advisor at Wealth Creation Advisory, based in Carthage, NC, with 36 years of industry experience. Gary operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1 advisor
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $500K | 2.00% |
| $500K+ | 1.50% |
Fees are negotiable.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location
Carthage, NC
Get directionsHistory
Regulatory History (11)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
September 2016Customer Dispute
August 2016Denied
Customer Dispute
June 2016Closed-No Action
Civil Bond
June 2011Customer Dispute
May 2010Settled
Civil Bond
February 2009Customer Dispute
November 2008Settled
Regulatory
June 1992Final
Customer Dispute
April 1992Award / Judgment
Regulatory
March 1992Final
Regulatory
March 1989Final
Employment History
Current Registrations
Wealth Creation Advisory
June 2025 - Present · 11 mos
Previous Registrations
Heads-Up Advisory
April 2020 - July 2023 · 3 yrs 3 mos
H. Beck, INC.
January 2007 - September 2016 · 9 yrs 8 mos
H. Beck, INC.Broker
June 2004 - September 2016 · 12 yrs 3 mos
H. Beck, INC.Broker
March 1989 - July 1993 · 4 yrs 4 mos
Carey Jamison & CompanyBroker
November 1988 - April 1989 · 5 mos
Hibbard Brown & CO., INC.Broker
September 1986 - October 1988 · 2 yrs 1 mo
Fsc Securities CorporationBroker
February 1984 - October 1986 · 2 yrs 8 mos
E. F. Hutton & Company INCBroker
April 1982 - February 1984 · 1 yr 10 mos
Dain, Bosworth IncorporatedBroker
May 1980 - April 1982 · 1 yr 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - May 1980 · 1 yr 8 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
July 1973 - September 1978 · 5 yrs 2 mos
State Registrations1 state
NC
Advisor
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.