Thomas Smith is a registered investment advisor, based in Raleigh, NC, with 32 years of industry experience.
Location
7780 Brier Creek Parkway, Suite 325, Raleigh, NC, 27617
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Regulatory History (1)
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Employment Separation After Allegations
January 2009Other Business ActivitiesSells Insurance
Thomas sells fixed insurance and final expense life insurance, and provides college funding information. He also buys, sells, and trades metal coins, gems, and antique glass; these activities take about 10-20% of his time each.
Employment History
Current Registrations
Modern Capital Securities INC.
December 2025 - Present · 4 mos
Modern Capital Securities INC.Broker
December 2025 - Present · 4 mos
Modern Capital Advisors, LLC
February 2025 - Present · 1 yr 2 mos
Previous Registrations
Modern Capital Advisors, LLC
March 2020 - December 2021 · 1 yr 9 mos
Liberty Partners Financial Services, LLCBroker
August 2016 - October 2025 · 9 yrs 2 mos
Investors Capital CORP.Broker
January 2009 - August 2016 · 7 yrs 7 mos
LPL Financial Corporation
October 2002 - January 2009 · 6 yrs 3 mos
LPL Financial CorporationBroker
October 2002 - January 2009 · 6 yrs 3 mos
Edward JonesBroker
December 1996 - October 2002 · 5 yrs 10 mos
Waddell & Reed, INC.Broker
April 1993 - October 1996 · 3 yrs 6 mos
State Registrations1 state
CA
Advisor
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Exams
No exam information available for this advisor.