Michael J. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Jay Smith was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2014 - November 2, 2015
WALL STREET FINANCIAL GROUP, INC.
November 12, 2004 - August 14, 2008
SECURITIES MANAGEMENT & RESEARCH, INC.
October 6, 2000 - November 5, 2004
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
November 19, 1985 - May 9, 2000
PRUCO SECURITIES, LLC.
February 15, 1983 - December 20, 1984
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WALL STREET FINANCIAL GROUP, INC.
CRD#: 35830 / SEC#: 801-58292, 8-46964
Contact information
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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