Knowledge & Expertise

Knowledge

We believe that learning and expanding expertise does not end with graduation or obtaining the basic licenses required to conduct business. Laws change, life get complicated, and your investment advisor should be keeping up.

Throughout his career, Matt has been consistently adding to his expertise in areas of financial analysis, financial planning, and investment management beyond the basics. Please see below for a description of Matt’s licenses and certifications, as well as the years in which they were earned.

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Series exams

  • NASAA Series 65 - Uniform Investment Advisor Law Exam (2019)

  • FINRA Series 7 - General Securities Representative Exam (2007, inactive)

  • NASAA Series 63 - Uniform Securities Agent State Law Exam (2005, inactive)

  • FINRA Series 6 - Investment Company and Variable Contracts Products Representative Exam (2005, inactive)

Certifications

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Chartered financial analyst®

Matt Smith is a CFA® Charter Holder.

 
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Certified financial planner™

Matt Smith is a CERTIFIED FINANCIAL PLANNER™ Professional.

 

Education

The University of Texas at Austin, B.A., Economics, 2004

Ongoing Education

  • CFP® professionals are required to complete 30 credit hours of continuing education (CE) each reporting period: 2 hours of CFP Board-approved Ethics CE and 28 hours of General CE.