Thomas Smith
Thomas Smith is a registered investment advisor at Legacy Wealth Management, LLC, based in Southlake, TX, with 17 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Corporate Executives, Estate Planning, and 6 more. Their firm serves 3,416 clients with $630M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Annual fee of up to 2.50% includes up to 2.0% advisory fee and up to 0.50% for illiquid direct participation program investments. Fees are negotiable.
Fee Estimator
Location
1500 Corporate Cir., Southlake, TX, 76092
Get directionsHistory
Regulatory History (1)
Customer Dispute
November 2016Other Business ActivitiesSells Insurance
Thomas is involved with Bering Financial, LLC, where he focuses on sales and service of life insurance and fixed annuities. He receives commissions for this work and dedicates about 10-20% of his time to it.
Employment History
Current Registrations
Legacy Wealth Management, LLC
Previous Registrations
Realta Equities, INC.Broker
Realta Investment Advisors, INC
Capital Markets Iq, LLC
Center Street Advisors, INC.
Center Street Advisors, INC.
Center Street Securities, INC.Broker
Titan Securities
Titan SecuritiesBroker
Newbridge Financial Services Group, INC.
Newbridge Securities CorporationBroker
Sigma Financial CorporationBroker
American General Securities IncorporatedBroker
State Registrations1 state
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
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