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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

THOMAS HUGH LEE

Advisor at SMITH MOORE & CO.

Brandon, MS | Mendenhall, MS

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8a687e9b-211d-5a11-be0a-70a77431b716

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 12:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Dec 15, 1993 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: SMITH MOORE & CO.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 15, 1993earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Nov 24, 1995
First registration: Dec 15, 1993
Dual registered: yes, broker-dealer
Other names: TOMMY LEE|THOMAS HUGH LEE
IAPD individual key: 1112745

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
SMITH MOORE & CO.	Bd affiliated wealth	Mar 23, 2020	n/a	yes	Brandon, MS\|Mendenhall, MS	Current employment
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Mar 12, 2020	no	MAGEE, MS\|FLOWOOD, MS	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Feb 21, 2007	Jan 2, 2009	no	MAGEE, MS\|BRANDON, MS\|HATTIESBURG, MS	Previous registration
THE STRATEGIC FINANCIAL ALLIANCE	Bd affiliated wealth	Jan 5, 2007	Feb 1, 2007	no	ATLANTA, GA\|MENDENHALL, MS	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jan 1, 2004	Jan 12, 2007	no	MENDENHALL, MS	Previous registration
IFG ADVISORY SERVICES INC	n/a	Jan 4, 2002	Jan 1, 2004	no	MENDENHALL, MS	Previous registration
BTS ASSET MANAGEMENT, INC.	Independent wealth	Dec 15, 1993	Mar 26, 2003	no	MENDENHALL, MS	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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SMITH MOORE & CO.	Mar 12, 2020	Mar 23, 2020	11	Firm change	Ibd to RIA
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
THE STRATEGIC FINANCIAL ALLIANCE	RAYMOND JAMES FINANCIAL SERVICES, INC.	Feb 1, 2007	Feb 21, 2007	20	Firm change	Other
CETERA ADVISORS LLC	THE STRATEGIC FINANCIAL ALLIANCE	Jan 12, 2007	Jan 5, 2007	-7	Firm change	Other
IFG ADVISORY SERVICES INC	CETERA ADVISORS LLC	Jan 1, 2004	Jan 1, 2004	0	Bulk transfer	Other
BTS ASSET MANAGEMENT, INC.	IFG ADVISORY SERVICES INC	Mar 26, 2003	Jan 4, 2002	-446	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149018:3441:MS:2020-03-12	Mar 12, 2020	Mar 23, 2020	FLOWOOD, MS	Firm change

Relationships

Registered with (7)

→ SMITH MOORE & CO.Registered adviserregistration: current employment
Mar 23, 2020 to presentfactForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Mar 12, 2020factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Feb 21, 2007 to Jan 2, 2009factForm ADV
→ THE STRATEGIC FINANCIAL ALLIANCERegistered adviserregistration: previous registration
Jan 5, 2007 to Feb 1, 2007factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jan 1, 2004 to Jan 12, 2007factForm ADV
→ IFG ADVISORY SERVICES INCRegistered adviserregistration: previous registration
Jan 4, 2002 to Jan 1, 2004factForm ADV
→ BTS ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 15, 1993 to Mar 26, 2003factForm ADV

Dated events

No dated event names this entity yet.