Michael J. Smrt
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 J Smrt II, who also goes by Michael J Smrt, Michael John Smrt II, Michael John Smrt, Mike Smrt Ii, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 6 firms and has passed the Series 63, SIE 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
January 3, 2017 - November 10, 2021
THE LEADERS GROUP, INC.
January 12, 2004 - December 31, 2016
PRINCIPAL SECURITIES, INC.
January 10, 2000 - December 31, 2003
WATERSTONE FINANCIAL GROUP, INC.
July 27, 1999 - January 6, 2000
BMA FINANCIAL SERVICES, INC.
July 28, 1988 - July 27, 1999
SIGNATOR INVESTORS, INC.
May 16, 1988 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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