William M. Smiley

COASTAL BRIDGE ADVISORS

Charlotte, NC 28216

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CRD#: 2374799

Professional summary

William Michael Smiley, who also goes by Mike Smiley, is a registered financial advisor currently at COASTAL BRIDGE ADVISORS located in Charlotte, North Carolina.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. William has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mike Smiley

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.

CBA Management Co., LLC; Partner - Senior Wealth Advisor WINTHROP UNIVERSITY FOUNDATION; NON INVESTMENT-RELATED; 2020 ALUMNI DRIVE, STEWART HOUSE, ROCK HILL, SC 29733; MEMBER OF BOARD OF DIRECTORS; SINCE 8/17/2024; 3-4 HRS/MONTH, 0 HRS/MONTH DURING TRADING HOURS; HELP MANAGE ASSETS AND PROVIDE VOLUNTEER LEADERSHIP THROUGH COMMUNITY OUTREACH, UNIVERITY ENGAGEMENT, AND BOARD GOVERNANCE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael Smiley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 24, 2025 - Present

COASTAL BRIDGE ADVISORS

Office #1: 9920 Couloak Drive Suite 110, Charlotte, NC 28216

RIA

CRD#: 152569

Charlotte, NC

Past

October 3, 2019 - January 28, 2025

TRINITYPOINT WEALTH, LLC

RIA

CRD#: 297165

Charlotte, NC

Past

November 29, 2017 - October 23, 2019

PENLAND LEGACY ADVISORS, LLC

RIA

CRD#: 118937

CHARLOTTE, NC

Past

November 9, 1995 - March 6, 2000

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

September 27, 1993 - November 10, 1995

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

COASTAL BRIDGE ADVISORS

COASTAL BRIDGE ADVISORS | LLBH PRIVATE WEALTH MANAGEMENT, LLC | COASTAL BRIDGE ADVISORS, LLC

CRD#: 152569 / SEC#: 801-70943

RIA

Registered Investment Advisory firm - (12/1/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(9/18/2025)

IAR

North Carolina
(1/24/2025)

IAR

South Carolina
(8/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/26/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/20/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/25/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/24/1994

General Securities Principal Examination

Current Firm

COASTAL BRIDGE ADVISORS

COASTAL BRIDGE ADVISORS | LLBH PRIVATE WEALTH MANAGEMENT, LLC | COASTAL BRIDGE ADVISORS, LLC

CRD#: 152569 / SEC#: 801-70943

RIA

Registered Investment Advisory firm - (12/1/2009 Approved)

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Contact information

Main Address

54 Wilton Road 1st Floor, Westport, CT 06880

Mailing Address

Phone number

(203) 683-1530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

COASTAL BRIDGE ADVISORS DISCLOSURE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,000
AUM (Assets Under Management)	$ 4,595,660,113

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/27/2025	Cover Page	Report
07/15/2024	Cover Page	Report
11/13/2023	Cover Page	Report

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.

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Firm Stability Insights

William M. Smiley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Michael Smiley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRINITYPOINT WEALTH, LLC

PENLAND LEGACY ADVISORS, LLC

FSC SECURITIES CORPORATION

IFG NETWORK SECURITIES, INC.

Primary Firm SEC Registration

COASTAL BRIDGE ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/26/1996

Series 63

Date: 8/20/1993

Series 7

Date: 9/25/1993

Series 24

Date: 3/24/1994

Current Firm

COASTAL BRIDGE ADVISORS

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

COASTAL BRIDGE ADVISORS

TRUST BUT VERIFY

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