Michael T. Smith
Professional summary
Michael Thomas Smith is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Thomas Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2011 - Present
CAPITAL SYNERGY PARTNERS
Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606January 5, 2021 - Present
CPS FINANCIAL & INSURANCE SERVICES, INC.
Office #1: 2860 Michelle Drive, Suite 150, Irvine, CA 92606August 24, 2009 - December 31, 2010
FINANCIAL WEST GROUP
January 2, 2004 - August 25, 2009
WATERSTONE FINANCIAL GROUP, INC.
July 14, 1994 - December 31, 2003
INVESTMENT DESIGNERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2011)
(12/2/2022)
(2/4/2025)
(3/1/2011)
Exams
FINRA
Current Firm
CPS FINANCIAL & INSURANCE SERVICES, INC.
CRD#: 41243 / SEC#: , 8-49337
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
