Michael N. Smith
Professional summary
Michael Norman Smith, who also goes by Michael Smith, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Norman Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2014 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901August 15, 2008 - December 13, 2013
VOYA FINANCIAL ADVISORS, INC.
March 25, 2008 - August 15, 2008
WOODBURY FINANCIAL SERVICES, INC.
September 20, 2001 - November 30, 2007
WOODBURY FINANCIAL SERVICES, INC.
May 8, 1996 - September 28, 2001
SANTA FE SECURITIES CORP.
October 25, 1993 - May 17, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/5/2016)
(1/3/2014)
(1/7/2016)
(1/6/2016)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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