Rachel Tracy Smith

Employer firm

Tlg Advisors, Inc. CRD 111052

$2.30B regulatory AUM 38 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2007 → 07/2021
  Concourse Financial Group Agency Inc
  Birmingham, AL
• 01/2008 → 11/2024
  Concourse Financial Group Securities Inc
  Birmingham, AL
• 07/2021 → Present
  Concourse Financial Group
  Birmingham, AL
• 11/2024 → Present
  The Leaders Group Inc
  Littleton, CO
• 12/2024 → Present
  Simplicity Group
  Birmingham, AL

Previous Registrations

• 2008-01-22 → 2024-12-02
  Concourse Financial Group Securities, Inc.
  Birmingham, AL
  Birmingham, AL
• 2007-10-17 → 2007-10-31
  Edward Jones
  St Louis, MO

Other Businesses

1.) CONCOURSE FIN GROUP - 7/1/2021 - 2100 SouthBridge Pkwy, Suite 650, Birmingham, AL 35209 - AVP, National Accounts, Sales, Not Invt Rel, Insurance business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) SIMPLICITY GROUP - 12/1/2024 - 2100 SouthBridge Pkwy, Suite 650, Birmingham, AL 35209 - Sales VP, Selling insurance products to advisors, Not Invt Rel, Insurance sales, 40 hrs/mo; 40 hrs/mo (during trading hours). 3.) TLG ADVISORS INC - 11/25/24 - 475 Springfield Avenue, Summit, NJ 07901 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).

Exams

• S66 Uniform Combined State Law Examination
  2007-10-11
• S63 Uniform Securities Agent State Law Examination
  1999-03-19