Michael Joseph Smith
Professional Summary
Michael Joseph Smith is a registered financial advisor currently at STIFEL CAPITAL MANAGEMENT, LLC located in Princeton Junction, New Jersey. Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Michael has worked at 5 firms and has passed the Series 65 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
29 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
STIFEL CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
1095 Avenue Of The Americas, New York, NY 10036Mailing Address
501 N. Broadway, St. Louis, MO 63102Phone Number
(212) 328-1000# of Employees
9SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
549AUM (Assets Under Management)
$4,199,937,688Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
STIFEL CAPITAL MANAGEMENT, LLC
State Registrations and Notice Filings
(2/11/2026)
(2/11/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Smith's CRS (Customer Relationship Summary).
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WELLS FARGO CLEARING SERVICES, LLC