Michael J. Smith

SPRING MOUNTAIN CAPITAL, LP

WEST WINDSOR, NJ 08550

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CRD#: 2940112

Professional summary

Michael Joseph Smith is a registered financial advisor currently at SPRING MOUNTAIN CAPITAL, LP located in West Windsor, New Jersey.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 4 firms and has passed the Series 65 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Smith'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

April 2, 2012 - Present

SPRING MOUNTAIN CAPITAL, LP

Office #1: 196 Princeton-hightstown Road Building 2a Suite 1, West Windsor, NJ 08550

RIA

CRD#: 119126

WEST WINDSOR, NJ

Past

February 13, 2009 - March 30, 2012

SMC FIXED INCOME MANAGEMENT, LP

RIA

CRD#: 140220

PRINCETON, NJ

Past

December 2, 2005 - March 30, 2007

UST SECURITIES CORP.

CRD#: 13906

NEW YORK, NY

Past

October 23, 1997 - July 8, 2005

FAM DISTRIBUTORS, INC.

CRD#: 4100

NEW YORK, NY

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".

SPRING MOUNTAIN CAPITAL, LP

CRD#: 119126 / SEC#: 801-61805

RIA

Registered Investment Advisory firm - (2/18/2003 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

New Jersey
(4/2/2012)

IAR

Texas
(8/20/2014)

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: 11/3/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 10/22/1997

General Securities Representative Examination

Current Firm

SPRING MOUNTAIN CAPITAL, LP

CRD#: 119126 / SEC#: 801-61805

RIA

Registered Investment Advisory firm - (2/18/2003 Approved)

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Contact information

Main Address

196 Princeton Highstown Road Suite 2a-1, West Windsor, NJ 08550

Mailing Address

40 W 51st Street Po Box 4510, New York, NY 10185

Phone number

(212) 292-8300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPRING MOUNTAIN CAPITAL, LP FORM ADV PART 2A (10/8/2025)

Regulatory assets under management

Total Number of Accounts	676
AUM (Assets Under Management)	$ 1,603,113,398

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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Michael J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Joseph Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPRING MOUNTAIN CAPITAL, LP

SMC FIXED INCOME MANAGEMENT, LP

UST SECURITIES CORP.

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

SPRING MOUNTAIN CAPITAL, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2008

Series 7

Date: 10/22/1997

Current Firm

SPRING MOUNTAIN CAPITAL, LP

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPRING MOUNTAIN CAPITAL, LP

TRUST BUT VERIFY

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