Michael Thomas Smith
Professional Summary
Michael Thomas Smith is a registered financial advisor currently at CAPITAL SYNERGY PARTNERS located in Irvine, California and CPS FINANCIAL & INSURANCE SERVICES, INC. located in Irvine, California. Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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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
32 years in the financial services industry
Current & Past Employments
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Current Firm
CPS FINANCIAL & INSURANCE SERVICES, INC. | CPS FINANCIAL SERVICES, INC.
Contact Information
Main Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606Mailing Address
2860 Michelle Drive, Suite 150, Irvine, CA 92606Phone Number
(949) 442-7519Established
California since 04/01/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 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
(3/1/2011)
(12/2/2022)
(2/4/2025)
(2/19/2026)
(3/1/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Thomas Smith's CRS (Customer Relationship Summary).
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