Thomas Smith
Thomas Smith is a registered investment advisor at Legacy Wealth Management, LLC, based in Southlake, TX, with 16 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Financial Planning & Coaching, Investment Management. Their firm serves 2,121 clients with $480M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Legacy Wealth Management's fee for managing your investments is a percentage of the assets they manage, ranging from 0.0% to 2.50%. The exact percentage is negotiable and depends on factors like account size, family accounts, investment goals, risk tolerance, and the complexity of the financial planning involved. Fees are billed either quarterly in advance or monthly in arrears. The firm may combine account values of family members to potentially lower the overall fee.
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 Investment Advisors, INC
Realta Equities, INC.Broker
Capital Markets Iq, LLC
Center Street Advisors, INC.
Center Street Advisors, INC.
Center Street Securities, INC.Broker
Titan SecuritiesBroker
Titan Securities
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.