Unclaimed Profile

Thomas Curtis Smith

SMITH HAYES ADVISERS INC·LINCOLN, Nebraska

SIE, Series 1, Series 4, Series 7TO, Series 24, Series 31, Series 40, Series 53, Series 63, Series 79TO, Series 99TOClean record28 years registeredSMITH HAYES ADVISERS INC

200 CENTRE TERRACE, LINCOLN, NE 68508CRD# 429051Firm CRD# 110776

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Curtis Smith · LINCOLN, NE

Registration

CRD #429051 · SMITH HAYES ADVISERS INC · 28 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: SMITH HAYES ADVISERS INC

D.A. DAVIDSON & CO.

Aug 2016 – Dec 2023

LINCOLN, NE

SMITH HAYES ADVISERS INC

Dec 1997 – Jul 2016

LINCOLN, NE

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 4

Series 7TO

Series 24

Series 31

Series 40

Series 53

Series 63

Series 79TO

Series 99TO

Registration record

First registered · December 18, 1997

Years registered · 28

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SMITH HAYES ADVISERS INC

CRD 110776 · SEC 801-56902

AUM

$2.1B

Regulatory assets under management

Employees

2,174 client accounts

Services offered by SMITH HAYES ADVISERS INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SMITH HAYES ADVISERS INC →

Introduction

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Frequently Asked Questions

What services does Thomas Curtis Smith offer?

Thomas Curtis Smith specializes in Financial Planning, Investment Management, Wealth Management.

What are Thomas Curtis Smith's credentials?

Thomas Curtis Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Curtis Smith located?

Thomas Curtis Smith is based in LINCOLN, Nebraska, last registered with SMITH HAYES ADVISERS INC.

How does Thomas Curtis Smith charge for services?

Thomas Curtis Smith's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions, performance-based fees, other: mutual fd & variable product 12b1's, sales credit on new issues. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SMITH HAYES ADVISERS INC?

SMITH HAYES ADVISERS INC has approximately 83 employees and manages $2.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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