Michael C. Smith

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CRD#: 1845505

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 Case Smith, who also goes by Michael Grey, Grey Smith, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 31 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Grey | Grey 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 24, 2020 - March 2, 2022

DAVIMAN FINANCIAL, LLC

RIA

CRD#: 285030

JACKSONVILLE, FL

Past

May 26, 2017 - February 11, 2020

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

JACKSONVILLE, FL

Past

May 23, 2017 - February 11, 2020

MML INVESTORS SERVICES, LLC

CRD#: 10409

JACKSONVILLE, FL

Past

August 19, 2016 - May 3, 2017

EQUITABLE ADVISORS, LLC

CRD#: 6627

JACKSONVILLE, FL

Past

July 26, 2016 - May 3, 2017

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

JACKSONVILLE, FL

Past

June 2, 2015 - August 1, 2016

DESTINY WEALTH PARTNERS, LLC

RIA

CRD#: 171346

JACKSONVILLE, FL

Past

October 10, 2013 - August 3, 2016

ASSET ADVISORS OF AMERICA, LLC

RIA

CRD#: 146566

LONGWOOD, FL

Past

September 3, 2013 - August 1, 2016

RUGGIE WEALTH MANAGEMENT

RIA

CRD#: 145595

TAVARES, FL

Past

April 4, 2012 - January 30, 2013

FINANCIAL TELESIS INC

CRD#: 31012

JACKSONVILLE, FL

Past

March 22, 2001 - December 20, 2001

COREBRIDGE CAPITAL SERVICES, INC.

CRD#: 13158

JERSEY CITY, NJ

Past

December 22, 1993 - October 6, 1999

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

LOS ANGELES, CA

Past

June 22, 1988 - July 12, 1988

BRENNAN ROSS SECURITIES, INC.

CRD#: 18363

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".

DAVIMAN FINANCIAL, LLC

DAVIMAN FINANCIAL, LLC | LAUNCH RETIREMENT LLC

CRD#: 285030 / SEC#: 801-130177

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

Florida

Registered Investment Advisory firm - (5/1/2024 Terminated)

Indiana

Registered Investment Advisory firm - (5/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/3/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/5/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/14/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/19/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/3/2012

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 2/11/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 3

Date: 9/12/1988

National Commodity Futures Examination

Current Firm

DAVIMAN FINANCIAL, LLC

DAVIMAN FINANCIAL, LLC | LAUNCH RETIREMENT LLC

CRD#: 285030 / SEC#: 801-130177

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

Florida

Registered Investment Advisory firm - (5/1/2024 Terminated)

Indiana

Registered Investment Advisory firm - (5/1/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/3/2020 Terminated)

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Contact information

Main Address

Noblesville, IN

Mailing Address

11650 Olio Rd. Suite 1000-286, Fishers, IN 46037

Phone number

(317) 207-0175

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 AND 2B 032425 (3/24/2025)

Regulatory assets under management

Total Number of Accounts	581
AUM (Assets Under Management)	$ 152,803,900

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.

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Advisor Monitoring

Firm Stability Insights

Michael C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

DESTINY WEALTH PARTNERS, LLC

ASSET ADVISORS OF AMERICA, LLC

RUGGIE WEALTH MANAGEMENT

FINANCIAL TELESIS INC

COREBRIDGE CAPITAL SERVICES, INC.

TCW FUNDS DISTRIBUTORS LLC

BRENNAN ROSS SECURITIES, INC.

Primary Firm SEC Registration

DAVIMAN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/5/2013

Series 63

Date: 4/14/2012

SIE

Date: 10/1/2018

Series 7

Date: 8/19/2016

Series 6

Date: 4/3/2012

Series 31

Date: 2/11/1994

Series 3

Date: 9/12/1988

Current Firm

DAVIMAN FINANCIAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DAVIMAN FINANCIAL, LLC

TRUST BUT VERIFY

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