Smitha Thomas, financial advisor Dallas TX
86 score

Smitha Thomas

CRD Number: 3128270
Current Firm: Independent Financial Partners

Smitha Thomas (CRD# 3128270) is an Investment Advisor Representative working at Independent Financial Partners in Dallas, TX and has over 14 years of experience in the finance industry. Smitha Thomas has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Independent Financial Partners Dallas, TX Feb 2016 - Current < 1
Lpl Financial LLC Dallas, TX Feb 2016 - Current < 1
Bank Of America, N.a. Dallas, TX Oct 2012 - Feb 2016 3
Merrill Lynch Pierce Fenner & Smith Dallas, TX May 2012 - Feb 2016 3
Chase Investment Services Corp Richardson, TX Jan 2011 - May 2012 1
Jpmorgan Chase Bank Richardson, TX Jan 2011 - May 2012 1
Chase Investment Services Dallas, TX Jan 2011 - May 2012 1
Unemployed Playno, TX Aug 2009 - Jan 2011 1
Scooter's Unlimited Plano, TX Aug 2009 - Jan 2011 1
Finestra Financial Dallas, TX Aug 2008 - Aug 2009 1
Unemployed Plano, TX May 2008 - Aug 2009 1
Lifetime Wealth Management Pc Rockwall, TX Mar 2009 - Jun 2009 < 1
Mass Mutual Financial Group Fort Worth, TX Jul 2008 - Mar 2009 < 1
Mml Investors Services Inc. Fort Worth, TX Jul 2008 - Mar 2009 < 1
Raub Capital Dallas, TX Mar 2007 - May 2008 1
Vsr Advisory Services Overland Park, KS Aug 2007 - Apr 2008 < 1
Vsr Financial Services, Inc. Overland Park, KS Apr 2007 - Apr 2008 1
The Masters (division Of Vsr) Overland Park, KS Apr 2007 - Aug 2007 < 1
Pfs Investments, Inc. Dallas, TX Aug 2006 - Apr 2007 < 1
Primerica Finanical Services Dallas, TX Aug 2006 - Apr 2007 < 1
Texas Senior Care Richardson, TX Oct 2006 - Mar 2007 < 1
Lee Financial Dallas, TX Aug 2005 - Sep 2006 1
Lee Financial Corporation Dallas, TX Jul 2005 - Aug 2006 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2002
S65 NASAA Investment Advisors Law Examination Jul 2006
S66 NASAA Uniform Combined State Law Examination Dec 2011
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Smitha Thomas
Phone Number: 813-341-0960
Registered State(s):
  • LA
  • ME
  • TX
By the Numbers
  • Total Assets Under Management
    4,348
    MILLIONS
  • Total Number of Accounts
    24,542
    ACCOUNTS
  • Average Account Value
    $177,153
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
86

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