Michael Francis Smyth
Professional Summary
Michael Francis Smyth, who also goes by Michael F Smyth, is a registered financial advisor currently at KLEON FINANCIAL, LLC located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 4, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael F Smyth
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
KLEON FINANCIAL, LLC | SOJOURNER SECURITIES, LLC
Contact Information
Main Address
C/o Accounting & Compliance International 199 Water St. 9th Fl, New York, NY, 10038Mailing Address
C/o Accounting & Compliance International 199 Water St. 9th Fl, New York, NY, 10038Phone Number
(212) 306-1010Established
North Carolina since 02/28/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(9/24/2026)
(9/21/2026)
(9/24/2026)
(9/21/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Aug 2006Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Francis Smyth's CRS (Customer Relationship Summary).
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