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MS

Michael H. Smith

SAVVY
Louisville, KY
Some features on this profile are disabled
CRD#: 2991964
MS

Professional summary

Michael Huntley Smith JR, who also goes by Michael H Smith Jr, Michael Smith, Mike Smith Jr, is a registered financial advisor currently at SAVVY located in Louisville, Kentucky.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Michael H Smith Jr | Michael Smith | Mike Smith Jr

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.
1. 8/31/2018 - FLEX Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/20/2018 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 04/04/2024 - NexAnnuity - Non-Variable Insurance - Insurance Agent - Investment Related - At Reported Business Location(s) - Start Date 04/04/2024 - 1 Hour Per Month/ 1 Hour During Trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Huntley Smith JR'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

March 21, 2025 - Present

SAVVY

RIA
CRD#: 318493
Louisville, KY
Past

August 20, 2018 - March 3, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
LOUISVILLE, KY
Past

August 20, 2018 - March 3, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
LOUISVILLE, KY
Past

July 5, 2001 - August 24, 2018

WADDELL & REED

RIA
CRD#: 866
INDIANAPOLIS, IN
Past

June 22, 2001 - August 24, 2018

WADDELL & REED

BD
CRD#: 866
INDIANAPOLIS, IN
Past

November 17, 1998 - June 8, 2001

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN
Past

April 15, 1998 - October 16, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

April 15, 1998 - October 16, 1998

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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".
SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS

CRD#: 318493 / SEC#: 801-123656

RIA
Registered Investment Advisory firm - (4/11/2022 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
Kentucky
(3/21/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/3/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/19/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/14/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/23/2011
General Securities Principal Examination

Current Firm

SA
SAVVY
CEDAR + SEVENS WEALTH | WEALTH RETENTION | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | PRESTIQ WEALTH PARTNERS CORP | NINE FOUR WEALTH | MARKETWISE ASSET MANAGEMENT | KHOURY PRIVATE WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS

CRD#: 318493 / SEC#: 801-123656

RIA
Registered Investment Advisory firm - (4/11/2022 Approved)
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Contact information

Main Address
111 West 33rd Street Unit 1410, New York, NY 10001
Mailing Address
Phone number
(833) 745-6789
Established
Firm type
Fiscal year end
# of Employees
60

SEC notice filing (38 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SAVVY ADV PART 2 (8/19/2025)

Regulatory assets under management

Total Number of Accounts3,776
AUM (Assets Under Management)$ 1,295,318,161

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.

Company Information

SAVVY

CRD#: 318493Louisville, KY

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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