Michael A. Wolfsmith
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 Alan Wolfsmith, AIF®, who also goes by Michael A Wolfsmith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 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
February 23, 2021 - February 4, 2022
BMO ASSET MANAGEMENT CORP.
January 2, 2020 - December 31, 2021
FORESIDE FINANCIAL SERVICES, LLC
January 5, 2017 - December 31, 2020
BMO ASSET MANAGEMENT CORP.
March 24, 2015 - December 31, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
August 4, 2010 - March 2, 2015
AMG DISTRIBUTORS, INC.
December 4, 2008 - October 23, 2009
TRANSAMERICA CAPITAL, LLC
March 21, 2002 - October 15, 2008
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
October 7, 1999 - September 6, 2001
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 30, 1999 - April 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
November 8, 1993 - January 20, 1995
KEMPER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
BMO ASSET MANAGEMENT CORP.
CRD#: 106466 / SEC#: 801-35533
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 5,186,280,670 |
Red Flags
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