MS
Michael H. Smith
SAVVY
Louisville, KY
Some features on this profile are disabled
CRD#: 2991964
MS
Michael Huntley Smith JRSAVVY
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.
At a Glance
Always Fiduciary
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
CRS (Client Relationship Summary) - RIA
Click below to view Michael Huntley Smith JR's 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®
NoneExperience
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
ATTICUS WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS | WEALTH RETENTION | UNIVERSAL VALUE ADVISORS | TRUE HARVEST PRIVATE WEALTH | THE RETIREMENT STUDIO | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SORELLE WEALTH PARTNERS | SHARPEWEALTH | SEDAI WEALTH | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | REVIVE WEALTH | RENOVATE FINANCIAL PLANNING | PRESTIQ WEALTH PARTNERS CORP | PILLAR CAPITAL, LLC | NINE FOUR WEALTH | MILETTI WEALTH MANAGEMENT | MARKETWISE ASSET MANAGEMENT | MARCADO ASSET MANAGEMENT | MARATHON WEALTH ADVISORS | LONGLEAF PRIVATE WEALTH | KHOURY PRIVATE WEALTH | JNB WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS | FLEX WEALTH MANAGEMENT | DEEP FORK | DC INSTITUTIONAL | CORSO WEALTH LLC | COLORADO WEALTH GROUP | CEDAR + SEVENS WEALTH | BUILD BETTER FINANCIAL FUTURE | BREAKAWAY FINANCIAL GROUP LLC | BLUE BARN WEALTH | BEYOND WEALTH MANAGERS
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
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 6
Passed: 4/14/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
Current Firm
SA
SAVVY
ATTICUS WEALTH MANAGEMENT | WOZNY CAPITAL ADVISORS | WEALTH RETENTION | UNIVERSAL VALUE ADVISORS | TRUE HARVEST PRIVATE WEALTH | THE RETIREMENT STUDIO | SULLIVAN FARR WEALTH ADVISORS | STANDING OAK ADVISORS | SORELLE WEALTH PARTNERS | SHARPEWEALTH | SEDAI WEALTH | SAVVY WEALTH, INC. | SAVVY WEALTH | SAVVY ADVISORS, INC. | SAVVY | REVIVE WEALTH | RENOVATE FINANCIAL PLANNING | PRESTIQ WEALTH PARTNERS CORP | PILLAR CAPITAL, LLC | NINE FOUR WEALTH | MILETTI WEALTH MANAGEMENT | MARKETWISE ASSET MANAGEMENT | MARCADO ASSET MANAGEMENT | MARATHON WEALTH ADVISORS | LONGLEAF PRIVATE WEALTH | KHOURY PRIVATE WEALTH | JNB WEALTH | HARDY CAPITAL INVESTMENTS | FLOURISH FINANCIAL PARTNERS | FLEX WEALTH MANAGEMENT | DEEP FORK | DC INSTITUTIONAL | CORSO WEALTH LLC | COLORADO WEALTH GROUP | CEDAR + SEVENS WEALTH | BUILD BETTER FINANCIAL FUTURE | BREAKAWAY FINANCIAL GROUP LLC | BLUE BARN WEALTH | BEYOND WEALTH MANAGERS
CRD#: 318493 / SEC#: 801-123656
RIA
Registered Investment Advisory firm - (4/11/2022 Approved)Loading...
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
170
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,645 |
| AUM (Assets Under Management) | $ 5,001,044,474 |
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.
