Michael E. 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 E Smith, who also goes by Michael E Smith, Michael Edward Smith, Mike Smith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 14 firms and has passed the Series 65, Series 66, Series 63, SIE 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
November 18, 2024 - October 20, 2025
LPL FINANCIAL LLC
November 18, 2024 - October 20, 2025
LPL FINANCIAL LLC
May 30, 2023 - November 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 13, 2023 - November 20, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 29, 2016 - January 13, 2022
FNEX CAPITAL, LLC
July 2, 2015 - December 4, 2015
MIDAMERICA FINANCIAL SERVICES, INC.
April 28, 2015 - May 11, 2015
COMPASS EFFICIENT MODEL PORTFOLIOS, LLC
December 16, 2013 - May 13, 2015
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 7, 2011 - June 23, 2011
CURIAN CLEARING, LLC
September 3, 2010 - October 15, 2010
MSC - BD, LLC
February 1, 2010 - May 3, 2010
INVESTMENT CENTERS OF AMERICA, INC.
July 28, 2008 - July 14, 2009
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 24, 2007 - April 30, 2008
DIRECTED SERVICES LLC
August 12, 2005 - August 15, 2006
CAPITAL BROKERAGE CORPORATION
April 17, 1998 - March 2, 2005
EQUITABLE DISTRIBUTORS, LLC
May 16, 1997 - April 3, 1998
MORGAN STANLEY DW INC.
November 7, 1995 - May 21, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
