Michael R. Smith
Professional summary
Michael Ralls Smith, who also goes by Michael R Smith, Michael Rall Smith, is a registered financial professional currently at WEDBUSH SECURITIES INC. located in Jersey City, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 27, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Ralls Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2025 - Present
WEDBUSH SECURITIES INC.
Office #1: 525 Washington Blvd 20th Floor, Jersey City, NJ 07310October 23, 2009 - September 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 7, 2006 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 6, 2006 - March 28, 2006
NATIONAL FINANCIAL SERVICES LLC
January 2, 2004 - May 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2003 - May 14, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2000 - July 17, 2002
UBS FINANCIAL SERVICES INC.
July 27, 1999 - April 20, 2000
SCHRODER & CO. INC.
April 9, 1998 - August 19, 1999
UBS FINANCIAL SERVICES INC.
December 5, 1995 - October 18, 1996
LADENBURG THALMANN & CO. INC.
October 19, 1994 - December 15, 1995
JPMSI
March 10, 1993 - June 27, 1994
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
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
Series 99TO
Date: 6/27/2025
Operations Professional ExaminationSeries 8
Date: 10/21/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
WEDBUSH SECURITIES INC.
CRD#: 877 / SEC#: 801-6358, 8-12987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEDBUSH FINANCIAL SERVICES, LLC | OWNER | |
| BILLINGS, DANIEL ERIC | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, DIRECTOR | 4568232 |
| BLAND, GEOFFREY CONOR | DIRECTOR | 7358773 |
| DEMPSEY, FRANCIS BURKE | EXECUTIVE VICE PRESIDENT | 2428325 |
| DRUCH, ANDREW WALTER | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, CHIEF ADMINISTRATIVE OFFICER, DIRECTOR | 1688071 |
| FITZSIMMONS, ROBERT GERARD | EXECUTIVE VICE PRESIDENT | 1878661 |
| FRAUNCES, KIRSTEN CAMPBELL | EXECUTIVE VICE PRESIDENT | 2933930 |
| HULTGREN, DONALD WAYNE | EXECUTIVE CHAIR, DIRECTOR | 1475369 |
| MONE, CHRISTOPHER MICHAEL | EXECUTIVE VICE PRESIDENT | 2401952 |
| PARRODE, RODRIGO NMN | EVP, CHIEF OPERATING OFFICER | 4905345 |
| PASET, ROBERT EDWARD | EXECUTIVE VICE PRESIDENT | 1055902 |
| PRESTON, ERIN KATHLEEN | CHIEF COMPLIANCE OFFICER | 5314250 |
| WEDBUSH, GARY LANCE | PRESIDENT, DIRECTOR | 2234455 |
Regulatory assets under management
| Total Number of Accounts | 10,048 |
| AUM (Assets Under Management) | $ 5,684,848,455 |
Disclosures
| Regulatory Event | 147 |
| Civil Event | 3 |
| Arbitration | 60 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2024 | ||
| 04/26/2024 | ||
| 12/21/2022 |
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.
