Thad Smith is a registered investment advisor, based in Dallas, TX, with 24 years of industry experience.
Location
8333 Douglas Ave, Suite 1450, Dallas, TX, 75225
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Thad is involved with two outside business activities. He works for Meregrass Inc., a charter company, and is also a Managing Director at Duration Asset Management, LLC, a Registered Investment Adviser.
Employment History
Current Registrations
Duration Asset Management, LLC
April 2024 - Present · 2 yrs 1 mo
Smith Capital Markets, LLC.Broker
April 2024 - Present · 2 yrs 1 mo
Previous Registrations
J.P. Morgan Securities LLC
March 2018 - April 2024 · 6 yrs 1 mo
J.P. Morgan Securities LLCBroker
February 2002 - April 2024 · 22 yrs 2 mos
Morgan Stanley Dw INC.Broker
May 2001 - December 2001 · 7 mos
State Registrations4 states
COFLNCTX
AdvisorBrokerBoth
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.