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Detailed Report
MATTHEW CHARLES SMITH
MATT SMITH
CRD#: 4948988
IA
Investment Adviser
B
Previous Broker
CONCERT FINANCIAL PLANNING, LLCCRD#: 304831 HOUSTON, TX
Registration History
20062008201020122014201620182020202220242026IACONCERT FINANCIAL PLANNING, LLC (CRD# 304831)2019 - Present (5 years)BFORESIDE FUND SERVICES, LLC (CRD# 46106)2014 - 2019 (4 years)BALPS DISTRIBUTORS, INC. (CRD# 16853)2011 - 2014 (3 years)BPRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD# 43261)2005 - 2011 (5 years)IACLARK ASSET MANAGEMENT, LLC (CRD# 284480)2020 - 2022 (1 year)
License(s)

State Registrations

IA
Georgia 4/27/2022
IA
Texas 8/26/2019
Current Registration(s)
IA
CONCERT FINANCIAL PLANNING, LLC (CRD#:304831)
HOUSTON, TX
2950 NORTH LOOP WEST SUITE 500, HOUSTON, TX 77092
Registered with this firm since 8/26/2019
Previous Registration(s)
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IA
 11/18/2020 - 09/12/2022 CLARK ASSET MANAGEMENT, LLC (CRD#:284480) HOUSTON, TX
B
 12/16/2014 - 04/01/2019 FORESIDE FUND SERVICES, LLC (CRD#:46106) PORTLAND, ME
B
 07/15/2011 - 12/31/2014 ALPS DISTRIBUTORS, INC. (CRD#:16853) DENVER, CO
B
 06/20/2005 - 03/16/2011 PRINCIPAL FUNDS DISTRIBUTOR, INC. (CRD#:43261) DES MOINES, IA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.