DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Thomas Eugene Smith
Feed of 09/14/2026
Also filed as Thomas E Smith
At current firm
8 y
since Mar 19, 2018
In the industry
21 y
since Nov 19, 2004 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse currentsince Mar 19, 2018 · Fairhope, Al
- Cetera Investment Advisers LLC BD affiliatedAug 27, 2015 to Mar 19, 2018 · Daphne, Al
- Pnc Wealth Management BD affiliatedJan 14, 2014 to Aug 21, 2015 · Robertsdale, Al
- Hancock Whitney Investment Services Inc. independent RIAFeb 8, 2012 to Jan 24, 2014 · Pensacola, Fl
- Cetera Investment Services LLC formerMay 19, 2009 to Feb 13, 2012 · Mobile, Al
- Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouseNov 22, 2004 to May 12, 2009 · Fairhope, Al
Moves
a registration end followed by a registration begin elsewhere
- Cetera Investment Advisers LLC to Merrill Lynch, Pierce, Fenner & Smith Incorporatedleft Mar 19, 2018, registered Mar 19, 2018 (0 days) · Other
- Pnc Wealth Management to Cetera Investment Advisers LLCleft Aug 21, 2015, registered Aug 27, 2015 (6 days) · Other
- Hancock Whitney Investment Services Inc. to Pnc Wealth Managementleft Jan 24, 2014, registered Jan 14, 2014 (-10 days) · Other
- Cetera Investment Services LLC to Hancock Whitney Investment Services Inc.left Feb 13, 2012, registered Feb 8, 2012 (-5 days) · Other
- Merrill Lynch, Pierce, Fenner & Smith Incorporated to Cetera Investment Services LLCleft May 12, 2009, registered May 19, 2009 (7 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address