Michael S. 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 Sterling Smith Sr, who also goes by Smith Lynn Michael, Michael Lynn Smith, Michael Sterling Smith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2019 - September 18, 2024
ADAPTFIRST INVESTMENTS LLC
February 1, 2019 - May 2, 2019
TLG ADVISORS, INC.
January 14, 2019 - May 2, 2019
THE LEADERS GROUP, INC.
October 18, 2018 - January 29, 2019
ALPHASTAR CAPITAL MANAGEMENT
January 12, 2015 - October 19, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 6, 2015 - October 19, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 14, 2014 - December 31, 2014
MML INVESTORS SERVICES, LLC
November 21, 2013 - December 31, 2014
MML INVESTORS SERVICES, LLC
May 1, 2013 - November 8, 2013
THE LEADERS GROUP, INC.
June 17, 2009 - May 23, 2013
NYLIFE SECURITIES LLC
November 8, 2005 - April 28, 2009
THE LEADERS GROUP, INC.
August 14, 2001 - November 9, 2005
OSAIC FS, INC.
June 28, 1999 - August 15, 2001
THE LEADERS GROUP, INC.
December 16, 1998 - July 13, 1999
NEW ENGLAND SECURITIES
October 1, 1997 - December 16, 1998
OSAIC FS, INC.
August 29, 1997 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
March 1, 1994 - January 15, 1998
NYLIFE SECURITIES LLC
May 21, 1987 - February 7, 1989
EQUITY 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
ADAPTFIRST INVESTMENTS LLC
CRD#: 289096 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 856 |
| AUM (Assets Under Management) | $ 82,650,669 |
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.
