Covington, LA Office
TeamData sourced from SEC public records (and other sources when available). Refreshed weekly • Updated today.
Smith Securities LLC
Supported
Firm-wide stats for Smith Securities LLC
About
Smith Securities LLC provides advisory and consulting services to individual and high‑net‑worth clients as well as retirement‑plan sponsors, offering a portfolio “MRI” analysis, project and ongoing financial consulting (including tax and insurance planning), and retirement‑plan consulting. The firm directs investment management to third‑party advisers and Matson Money rather than managing client assets internally, and it delivers reports to clients on a quarterly basis.
The firm’s stated approach emphasizes fundamental analysis and modern portfolio theory with a long‑term trading orientation, and it tailors recommendations through client interviews and the MRI review process. Smith Securities does not exercise discretionary authority over client accounts and requires clients to use designated third‑party adviser/custodian arrangements for execution and fee withdrawal.
Notable distinctions in the brochure include disclosure that a firm principal is a licensed insurance agent and that the firm may receive commissions or share fees when clients use outside insurance or accounting services, creating potential conflicts of interest to be managed. The brochure also highlights newly added retirement‑plan services and client education components (such as seminars or workshops), the absence of internal AUM, the firm’s requirement that clients use Matson Money, and operational practices like not aggregating block trades.
Based on Smith Securities LLC
Location
Covington LA
Advisors at this office
2
Advisors at this office
Christopher S
CFP®, Series 66
Covington, LA
Smith Securities LLC
Christopher Smith is a Certified Financial Planner® (CFP®) with 11 years of industry experience. He has worked at Smith Securities LLC since 2017 and previously at Hancock/Whitney Investment Services, Inc. for one year. Smith Securities LLC provides advisory and consulting services to individual and high-net-worth clients, as well as retirement-plan sponsors. The firm emphasizes fundamental analysis and modern portfolio theory with a long-term trading orientation and delivers financial consulting and retirement-plan services while directing investment management to third-party advisers.
Thomas H
Series 63, Series 65
Covington, LA
Smith Securities LLC
Thomas Hughs is a financial advisor at Smith Securities LLC in Covington, LA, holding Series 63 and Series 65 licenses with 35 years of industry experience. His prior roles include positions at Consortium Private Wealth LLC, The Prudential Insurance Company of America, and Penn Mutual Life Insurance Company. Outside of his advisory work, he serves on the boards of several social and nonprofit Mardi Gras organizations in Louisiana. Smith Securities provides advisory services primarily to individual and high-net-worth clients, focusing on portfolio analysis, financial consulting, and referrals to third-party investment advisers. The firm emphasizes long-term trading strategies and tailored recommendations based on fundamental analysis and modern portfolio theory, without managing assets internally.
Not sure where to start?
We'll help you think it through—whether you ultimately need an advisor or not. Warmer helps you compare advisors clearly, so you can choose with confidence.
For advisor listings, we rely on sources including public filings and data provided by advisors, and we cannot guarantee that all information is current or accurate. Advisors are independent and may not have reviewed or updated this information. Please review an advisor’s Form ADV and do your own diligence before deciding whether to work with them.
Advisor matching and introductions are provided by FinanceHQ LLC (“FHQ”), a wholly-owned subsidiary of Warmer and an SEC-registered investment advisor. We receive compensation from certain participating advisors for introductions or referrals. This creates a conflict of interest because we have an incentive to recommend advisors who compensate us, including those who pay us more. You pay no fee to use our matching service, and advisor fees are not increased because of a referral or introduction. We do not review the ongoing performance of advisors, manage or hold assets, guarantee performance, or provide advice about specific investments.
By using our service, you agree to our Terms of Service and Advisory Agreement, and acknowledge our Privacy Policy. Please review FHQ’s ADV Part 2A and Form CRS. Logos provided by Logo.dev
© 2026 Warmer Holdings Inc. (“Warmer”)