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Derek Smith is licensed in AZ, FL, ME, NC, SC, TN, TX and VA for insurance products, and life insurance (including variable life), annuities (including variable annuities), and is securities and advisory registered in GA, IN, NC, SC, TX, and VA.

Austin Smith is licensed in NC, and SC for insurance products, and life insurance (including variable life), annuities (including variable annuities), and is securities and advisory registered in NC.

This site is not a solicitation of interest in any of these products in any other state.

IMPORTANT CONSUMER INFORMATION: Derek and Austin Smith may only transact business in a particular state after licensure or satisfying qualifications requirements of that state, or only if they are excluded or exempted from the state's registration requirements.  Follow-up, individualized responses to consumers in a particular state by Derek and Austin Smith that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's requirements, or pursuant to an applicable state exemption or exclusion.  For information concerning the licensure status or disciplinary history of a broker-dealer, investment adviser, BD agent or IA representative or any financial institution he represents, contact your state securities law administrator.

Insurance products issued by Principal National Life Insurance Co. (except in NY), Principal Life Insurance Co., and the companies available through the Preferred Product Network, Inc. Securities and advisory products offered through Principal Securities, Inc., Member SIPC.  Principal National, Principal Life, the Preferred Product Network, and Principal Securities are members of the Principal Financial Group®, Des Moines, IA 50392. Derek Smith and Austin Smith, Principal National and Principal Life Financial Representatives, Principal Securities Registered Representatives, Financial Advisors, and a members of the Principal® Financial Network. Smith Financial Corporation is not an affiliate of any company of the Principal Financial Group.

Principal Life maintains certificates of authority to transact insurance in all 50 states.  Principal Life NAIC identification number is 61271.  Principal National NAIC identification number is 71161.