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Thomas Anthony Smith

Investment Adviser Representative at MODERN CAPITAL ADVISORS, LLC

Napa, CACRD #2109368Dual-registered
Disclosure(s) on record — see official records below
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
33 yrs
States Registered
1 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
California
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 2/7/1991
Series 24
General Securities Principal Examination
Passed 3/26/2003
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 2/20/1997
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/21/1993

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Up to $250,0002.00%
Over $250,000 to $500,0001.75%
Over $500,000 to $1,000,0001.50%
Above $1,000,0001.25%
Account minimum: $5,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

MODERN CAPITAL Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MODERN CAPITAL SECURITIES INC.Current
12/8/2025RALEIGH, NC
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
8/9/201610/31/2025RALEIGH, NC
WADDELL & REED, INC.
4/22/199310/2/1996OVERLAND PARK, KS
EDWARD JONES
12/24/199610/24/2002ST. LOUIS, MO
LPL FINANCIAL CORPORATION
10/18/20021/21/2009NAPA, CA
INVESTORS CAPITAL CORP.
1/15/20098/9/2016NAPA, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Anthony Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.