MS
Michael L. Smith
FIRST HORIZON ADVISORS
Memphis, TN 38117
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CRD#: 1319720
MS
Professional summary
Michael Lawrence Smith, who also goes by Mike Smith, is a registered financial advisor currently at FIRST HORIZON ADVISORS, INC. located in Memphis, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 50 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Smith Baynard LLC; non-investment related; 2620 Crossgate Lane, Vestavia Hills, AL 35216; Hold real estate rental property; Officer; 01/01/2024; 0 hours per month; Duties include overall supervision of real estate property. Management Company handles all details.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lawrence Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 5, 2021 - Present
FIRST HORIZON ADVISORS, INC.
Office #1: 4990 Poplar Avenue 3rd Floor, Memphis, TN 38117RIA
BD
CRD#: 17117
Memphis, TN
Past
March 20, 2001 - January 19, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
September 19, 2000 - November 24, 2000
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 14, 2000 - October 17, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
November 9, 1999 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
BD
CRD#: 740
NEW YORK, NY
Past
December 6, 1994 - December 30, 1998
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Alabama(10/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
FH
FIRST HORIZON ADVISORS, INC.
FIRST HORIZON ADVISORS, INC | FTB ADVISORS, INC. | FIRST TENNESSEE DISCOUNT BROKERAGE, INC. | FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON INVESTMENT SERVICES, A DIVISION OF FIRST TENNESSEE BROKERAGE, INC. | FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
RIA
Registered Investment Advisory firm - SEC (5/31/2013 Approved)Arizona
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Arkansas
Registered Investment Advisory firm - SEC (5/25/2004 Terminated)California
Registered Investment Advisory firm - SEC (6/15/2004 Terminated)Delaware
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Georgia
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)Maryland
Registered Investment Advisory firm - SEC (7/13/2004 Terminated)Missouri
Registered Investment Advisory firm - SEC (5/28/2004 Terminated)New Jersey
Registered Investment Advisory firm - SEC (3/29/2007 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/24/2004 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (7/12/2004 Terminated)Tennessee
Registered Investment Advisory firm - SEC (8/14/2004 Terminated)Texas
Registered Investment Advisory firm - SEC (7/15/2004 Terminated)Virginia
Registered Investment Advisory firm - SEC (7/22/2004 Terminated)Washington
Registered Investment Advisory firm - SEC (8/29/2002 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
165 Madison Avenue 3rd Floor, Memphis, TN 38117
Mailing Address
165 Madison Avenue 14th Floor, Memphis, TN 38103
Phone number
(901) 818-6000
Established
Tennessee since 10/24/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
239
SEC notice filing (40 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,076 |
| AUM (Assets Under Management) | $ 13,617,534,771 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/15/2025 | ||
| 08/16/2024 | ||
| 12/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FIRST HORIZON ADVISORS, INC.
CRD#: 17117Memphis, TN 38117TRUST BUT VERIFY
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