Thomas Gerald Smith

Current Employers

Thomas Smith And Associates, Inc.

Greenville, SC • United States

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED_RES	2013-01-07

SC RA
APPROVED_RES

Since 2013-01-07

Branch Locations

Greenville, SC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Thomas Smith And Associates, Inc.	Greenville	SC	05/2003	Present

05/2003 → Present

Thomas Smith And Associates, Inc.

Greenville, SC

Previous Registrations

2003-01-23 → 2003-11-11

Hayden Harper Financial, Llc

Charlotte, NC

Other Businesses

Carolina Real Estate Inc Not investment related 102 N Fairplay Street, Seneca, SC 29678 Residential and commercial real estate sales and property management Agent - INACTIVE 07/2020 Currently zero Zero Act as my own agent when buying or selling a home for myself only.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-12-21
S63	Uniform Securities Agent State Law Examination	1990-05-24

S65 Uniform Investment Adviser Law Examination

1994-12-21
S63 Uniform Securities Agent State Law Examination

1990-05-24

Designations

Other Names

Chip Smith

View on SEC IAPD