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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)36 years in industry

Troy McKay Smith

Advisor at WAKE WEALTH MANAGEMENT CO.

RALEIGH, NC

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Search this name across graphsid dfx:ria:681fa526-a37b-6d12-d45a-ec0a05dcd80f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Dec 31, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WAKE WEALTH MANAGEMENT CO.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Oct 18, 1990
First registration: Dec 31, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1962458

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WAKE WEALTH MANAGEMENT CO.	State registered	Sep 26, 2011	n/a	yes	RALEIGH, NC	Current employment
H. BECK, INC.	Former SEC adviser	Apr 5, 2005	Sep 21, 2011	no	Raleigh, NC\|RALEIGH, NC\|Cary, NC\|ROCKVILLE, MD\|Salt Lake City, UT	Previous registration
1717 CAPITAL MANAGEMENT COMPANY	n/a	Jan 5, 2004	Apr 5, 2005	no	DURHAM , NC	Previous registration
LEWIS FINANCIAL MANAGEMENT, LLC	Independent wealth	Dec 31, 2001	Sep 30, 2003	no	RALEIGH, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
H. BECK, INC.	WAKE WEALTH MANAGEMENT CO.	Sep 21, 2011	Sep 26, 2011	5	Firm change	Other
1717 CAPITAL MANAGEMENT COMPANY	H. BECK, INC.	Apr 5, 2005	Apr 5, 2005	0	Firm change	Other
LEWIS FINANCIAL MANAGEMENT, LLC	1717 CAPITAL MANAGEMENT COMPANY	Sep 30, 2003	Jan 5, 2004	97	Firm change	Other

Relationships

Registered with (4)

→ WAKE WEALTH MANAGEMENT CO.Registered adviserregistration: current employment
Sep 26, 2011 to presentfactForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Apr 5, 2005 to Sep 21, 2011factForm ADV
→ 1717 CAPITAL MANAGEMENT COMPANYRegistered adviserregistration: previous registration
Jan 5, 2004 to Apr 5, 2005factForm ADV
→ LEWIS FINANCIAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Dec 31, 2001 to Sep 30, 2003factForm ADV

Dated events

No dated event names this entity yet.