Michael C. 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 Curtis Smith, CFP®, who also goes by Michael C Smith, Michael Smith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. Michael had worked at 11 firms and has passed the Series 63, Series 65, Series 7 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
Start date: 2000
Experience
January 3, 2019 - April 1, 2020
FACET
August 13, 2009 - February 2, 2010
ALLSTATE FINANCIAL SERVICES, LLC
September 24, 2008 - February 11, 2009
CLIFTON GUNDERSON WEALTH ADVISORS
September 24, 2008 - February 11, 2009
CG BROKERAGE L.L.C.
August 17, 2006 - September 19, 2008
M&T SECURITIES, INC.
July 11, 2006 - September 19, 2008
M&T SECURITIES, INC.
March 7, 2006 - May 18, 2006
LEVIN FINANCIAL SERVICES, INC.
August 16, 2004 - December 31, 2005
LEVIN FINANCIAL SERVICES, INC.
April 18, 2003 - July 13, 2004
LEGG MASON WOOD WALKER, INCORPORATED
November 24, 1999 - July 13, 2004
LEGG MASON WOOD WALKER, INCORPORATED
May 1, 1995 - October 14, 1999
ALLFIRST BROKERAGE CORPORATION
December 11, 1993 - November 16, 1994
MONTANO SECURITIES CORPORATION
June 10, 1991 - October 7, 1991
AMERIPRISE ADVISOR SERVICES, INC.
December 13, 1989 - September 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FACET
CRD#: 285961 / SEC#: 801-108767
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
FACET
CRD#: 285961 / SEC#: 801-108767
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 36,817 |
| AUM (Assets Under Management) | $ 4,754,146,771 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/29/2025 |
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.
