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Paladin Research Report For:

Doug Gibson

SMART Group Houston

LUTCF®
4801 Woodway Dr
Suite 305W
Houston, TX 77056
832-731-7619

About Doug Gibson

Doug Gibson has helped countless individuals and business owners navigate the many challenges investors face daily. His philosophy is simple, have a plan, and play it S.A.F.E. The S.A.F.E investment philosophy is simple, the market is unpredictable but by having a disciplined approach and focusing on the factors we CAN control, we can significantly improve the ability for clients to achieve their goals. Those factors are Strategy, Allocation, Fees, and Expenses. Adhering to this philosophy along with a tax centric, comprehensive financial plan, his clients have total transparency, and a vital understanding of their financial objectives. By putting the needs of his clients first and using the S.A.F.E investing philosophy he pioneered, his clients not only understand the implications of financial decisions but can make the ones that will have a positive impact on their financial future.

See Disclosures

General Information

Firm Start Year
  • 1991
No. of Employees
  • 10-19
CRD#
  • 5626771
Firm CRD#
  • 29087
Insurance License#
  • 1548341
Name of Broker/Dealer
  • World Equity Group
Name of Custodial Firm
  • TD Ameritrade, Schwab, SEI, Fidelity
States Licensed in
  • TX, LA, FL, GA, HI
Years of Experience in Financial Services
  • 18
Number of Years with Current Firm
  • 4
Work Experience
  • I began my financial services career working for a large, well-established company with tremendous name recognition. I did not recognize it at the time, but these types of companies tend to be more product focused instead of solution oriented. However, as time went on, I realized the larger, more successful these companies grew, the less focused they became on sourcing and implementing creative solutions to meet the unique needs of clients. They focused on profit over principle and compliance over creativity, often requiring advisors to use higher margin, proprietary products, and other services that were not aligned with the clients best interests. At the end of the day, I felt like my time was spent chasing prospects, trying to sell insurance, annuities, and rolling over IRAs, and never really delivering any true long-term value. When I finally decided it was time to make a change, I evaluated numerous companies to filter out firms that exhibited those characteristics. I focused on finding a company that truly placed the interests of their clients first, regardless of the product or margins. I wanted a tax centric planning company, focused on delivering value, that not only allowed advisors to explore any available solution that would address client needs, but encouraged and supported it as well. Smart Group Houston exceeded those expectations. We are a small boutique firm that has been around for over 50 years, specializing in finding solutions for individuals and business owners to address the unique and complex financial challenges they face daily. As a data driven, holistic planning firm, we assess and compare every strategy, product, or service available in the marketplace, in a simple, easy to understand format that we call The SMART Plan. This not only enables our clients to easily evaluate whether our recommendations achieve their goals, but also to understand the long-term impact each decision will have on their lifestyle in the years ahead.
Work with the following types of clients
  • Businesses, Individual Investors, Non-Profit Organizations
Foreign Languages Serviced
  • English, Spanish
Advisory Services Provided
  • Legal Advice and Services, Tax Advice and Services, Financial Advice & Consulting, Investment Advice & Management, Financial Planning for Businesses, Financial Planning for Individuals, Education Funding and Planning, Risk Management, Money Management, Wealth Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Estate Planning & Trusts

Compliance

Registered Investment Advisor
  • Yes
Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • I have a clean record
Criminal Disclosures in Last 5 years
  • I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • LUTCF®
Securities Licenses
  • Series 66, Series 63, Series 7, Series 6
Insurance and Annuity Licenses
  • Accident, Annuity, Health, Life, Variable Annuity, Long Term Care, Disability, Variable Life

Firm Information

Advisor's Number of Clients
  • 400+
Advisor's Number of Managed Clients
  • 400+
Advisor's Number of Planning Clients
  • 400+
Assets Managed by Advisor
  • 350000000

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $250,000
Fee % Based on Assets
  • .

Education

Bachelor of Business Administration - General Business

Sam Houston State University
08/01/2000 -06/01/2004

Disclosures

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1891647/paladinregistry-SMART-Group-Houston-detailed-disclosure.html

Disclaimer

Securities and advisory through World Equity Group, Inc. Member FINRA and SEC RIA. Exponent Prosperity Accelerator Advisors, LLC & SMART Group Houston neither owned nor controlled by World Equity Group, Inc.