Michael C. 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 Christopher Smith was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 8 firms and has passed the Series 63 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
September 11, 2003 - May 5, 2004
LLOYD, SCOTT & VALENTI, LTD.
June 9, 2003 - August 15, 2003
CAPITAL GROWTH FINANCIAL, LLC
July 1, 2002 - June 16, 2003
NEWBRIDGE SECURITIES CORPORATION
September 28, 2001 - July 23, 2002
J.P. TURNER & COMPANY, L.L.C.
March 15, 2001 - September 28, 2001
STERLING FINANCIAL INVESTMENT GROUP, INC.
September 8, 2000 - March 29, 2001
NATIONAL SECURITIES CORPORATION
May 22, 2000 - September 11, 2000
THE AGEAN GROUP, INC
July 1, 1999 - May 22, 2000
J.P. TURNER & COMPANY, L.L.C.
March 10, 1999 - July 6, 1999
FAS WEALTH MANAGEMENT SERVICES, 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
Current Firm
LLOYD, SCOTT & VALENTI, LTD.
CRD#: 23640 / SEC#: , 8-40615
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
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.
