Michael R. 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 Reid Smith, who also goes by Mike Smith, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1987. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2011 - August 27, 2014
FINANCIAL TELESIS INC
September 9, 2011 - August 27, 2014
FINANCIAL TELESIS INC
April 9, 1999 - September 14, 2011
SIGNATOR INVESTORS, INC.
January 10, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 10, 1995 - September 14, 2011
SIGNATOR INVESTORS, INC.
November 8, 1990 - November 22, 1994
EQUITY SERVICES, INC.
September 17, 1987 - September 14, 1990
METROPOLITAN LIFE INSURANCE COMPANY
September 17, 1987 - September 14, 1990
MSI FINANCIAL SERVICES, 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
FINANCIAL TELESIS INC
CRD#: 31012 / SEC#: 801-63974, 8-45304
Contact information
FINRA licenses (6 States and Territories)
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.
