Michael J. Smith

STIFEL CAPITAL MANAGEMENT

Princeton Junction, NJ 08550

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CRD#: 2940112

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.

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

February 11, 2026 - Present

STIFEL CAPITAL MANAGEMENT, LLC

Office #1: 196 Princeton Hightstown Rd Suite 2a-1, Princeton Junction, NJ 08550

RIA

CRD#: 328365

Princeton Junction, NJ

Past

April 2, 2012 - February 13, 2026

SPRING MOUNTAIN CAPITAL, LP

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".

STIFEL CAPITAL MANAGEMENT, LLC

CRD#: 328365 / SEC#: 801-129003

RIA

Registered Investment Advisory firm - (11/2/2023 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
(2/11/2026)

IAR

Texas
(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

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

STIFEL CAPITAL MANAGEMENT, LLC

CRD#: 328365 / SEC#: 801-129003

RIA

Registered Investment Advisory firm - (11/2/2023 Approved)

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Contact information

Main Address

1095 Avenue Of The Americas, New York, NY 10036

Mailing Address

501 N. Broadway, St. Louis, MO 63102

Phone number

(212) 328-1000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STIFEL CAPITAL MANAGEMENT - FORM ADV PART 2A FEBRUARY 2026 (2/13/2026)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 1,487,893,776

Red Flags

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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

STIFEL CAPITAL MANAGEMENT, LLC

SPRING MOUNTAIN CAPITAL, LP

SMC FIXED INCOME MANAGEMENT, LP

UST SECURITIES CORP.

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

STIFEL CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2008

Series 7

Date: 10/22/1997

Current Firm

STIFEL CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STIFEL CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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