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Inactive

Thomas L Smith

Abg Consultants

Westfield, IN

Cottonwood Heights, UT

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Current Employers
Abg Consultants

6975 S Union Park Ctr #644, Cottonwood Heights, UT 84047 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2026-08-14
  • IN RA
    APPROVED
    Since 2026-08-14

Branch Locations

Westfield, IN • United States

6975 S Union Park Ctr #644, Cottonwood Heights, UT 84047 • 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
OrganizationCityStateFromTo
Capital Group Carmel IN 02/2011 12/2019
American United Life Indianapolis IN 12/2019 12/2024
Oneamerica Securities Indianapolis IN 02/2020 12/2024
American Funds Distributors, Inc. Carmel IN 05/2016 12/2019
Abg Consultants, Llc Cottonwood Heights UT 08/2026 Present
Dwc Erisa Consultants, Llc Minneapolis MN 06/2026 Present
Momenta, Inc. Santa Clara CA 04/2025 05/2026
Unemployed Westfield IN 01/2025 03/2025
  • 02/2011 → 12/2019
    Capital Group
    Carmel, IN
  • 12/2019 → 12/2024
    American United Life
    Indianapolis, IN
  • 02/2020 → 12/2024
    Oneamerica Securities
    Indianapolis, IN
  • 05/2016 → 12/2019
    American Funds Distributors, Inc.
    Carmel, IN
  • 08/2026 → Present
    Abg Consultants, Llc
    Cottonwood Heights, UT
  • 06/2026 → Present
    Dwc Erisa Consultants, Llc
    Minneapolis, MN
  • 04/2025 → 05/2026
    Momenta, Inc.
    Santa Clara, CA
  • 01/2025 → 03/2025
    Unemployed
    Westfield, IN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-19
S63 Uniform Securities Agent State Law Examination 2016-07-01
  • S65 Uniform Investment Adviser Law Examination
    2017-12-19
  • S63 Uniform Securities Agent State Law Examination
    2016-07-01
Other Names
  • Tom Smith
  • Thomas Lloyd Smith Ii

View on SEC IAPD

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