Michael R. 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 Ryan Smith was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2014 - October 31, 2016
WATERMILL INSTITUTIONAL TRADING LLC
March 4, 2013 - June 30, 2014
ROSENBLATT SECURITIES INC.
May 19, 2010 - March 22, 2013
WEDGE SECURITIES, LLC
March 22, 2005 - May 4, 2010
KEVIN DANN & PARTNERS, LLC
December 5, 1994 - October 23, 1996
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 13, 1993 - September 26, 1994
LEHMAN BROTHERS 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
Exams
Series 55
Date: 5/16/2011
Limited Representative-Equity Trader ExamCurrent Firm
WATERMILL INSTITUTIONAL TRADING LLC
CRD#: 150892 / SEC#: , 8-68311
Contact information
FINRA licenses (15 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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