Thomas Patrick Smith
Investment Adviser Representative at Legacy Wealth Management, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Thomas Patrick Smith is an investment adviser representative with Legacy Wealth Management, LLC in Southlake, TX, where they have been registered since 2024. They have worked in the securities industry since 2009 and have been registered with 6 firms, including Realta Investment Advisors, Inc and Capital Markets IQ, LLC. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Texas.
Registrations & licenses
- Investment adviser:
- Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- SELF DBA Bering Financial LIFE INS & Annuity SalesOct 2001 – no end date reportedSouthlake, TX
- Capital Markets IQAug 2022 – Nov 2022Arlington, TX
- Realta Equities, Inc.Nov 2022 – May 2024Wilmington, DE
- Realta Investment Advisors, Inc.Nov 2022 – May 2024Wilmington, DE
- Legacy Wealth Management, LLCMay 2024 – no end date reportedBoise, ID
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Legacy Wealth Management, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Performance-based fees
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$500M–$1B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 52
- Offices listed on AdvisorFinder:
- 5
- Main office:
- Boise, ID
- SEC file number:
- 801-113480
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 13, 2026
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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 Patrick 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.
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