Michael L. 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 Lawrence Smith, who also goes by Mike Smith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 7 firms and has passed the Series 65, Series 63, Series 50 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2021 - January 29, 2026
FIRST HORIZON ADVISORS, INC.
March 20, 2001 - January 19, 2005
SOUTHTRUST SECURITIES, LLC
September 19, 2000 - November 24, 2000
ROBERT W. BAIRD & CO. INCORPORATED
August 14, 2000 - October 17, 2001
UBS FINANCIAL SERVICES INC.
November 9, 1999 - August 14, 2000
J.C. BRADFORD & CO.
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
December 6, 1994 - December 30, 1998
CITIGROUP GLOBAL MARKETS INC.
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
FIRST HORIZON ADVISORS, INC.
CRD#: 17117 / SEC#: 801-78594, 8-35061
Contact information
FINRA licenses (15 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.
