Michael L. Smith

FARTHER

St. Augustine, FL

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CRD#: 3115583

Professional summary

Michael Leviel Smith, who also goes by Michael L Smith, is a registered financial advisor currently at FARTHER located in St. Augustine, Florida.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Michael has worked at 10 firms and has passed the Series 65, Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael L Smith

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. Name of other business: Davidson Realty (Broker) - Agent; Is business Investment related: No; Nature of other business: Real Estate; Your position: Agent; Start date of relationship: 10/2022; Approx. # of hours /month devote to other business: 5; Number of hours devoted to other business during securities trading hours: 0: Briefly describe duties: Helping buyers and sellers with single family residential homes. 2. Name of other business: Michael Smith Notary dba Mike The Notary; Is business Investment related: No; Nature of other business: General Notary, Loan Signing Services; Your position: Notary Public; Start date of relationship: 10/2020; Approx. # of hours /month devote to other business: 2; Number of hours devoted to other business during securities trading hours: 0: Briefly describe duties: Notarization and loan closing for individuals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Leviel 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

August 26, 2024 - Present

FARTHER

RIA

CRD#: 302050

St. Augustine, FL

Past

June 20, 2019 - November 17, 2021

ROCK CREEK WEALTH PLANNERS AND ADVISORS LLC

RIA

CRD#: 298104

Jackson, MS

Past

October 18, 2018 - June 24, 2019

COLISEUM WEALTH MANAGEMENT, LLC

RIA

CRD#: 165610

Atlanta, GA

Past

February 11, 2011 - September 24, 2018

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

WASHINGTON, DC

Past

February 9, 2011 - September 24, 2018

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

WASHINGTON, DC

Past

September 9, 2009 - November 29, 2010

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

ATLANTA, GA

Past

September 1, 2009 - November 29, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

ATLANTA, GA

Past

April 5, 2006 - September 3, 2009

MUTUAL SERVICE CORPORATION

RIA

CRD#: 4806

ATLANTA, GA

Past

November 30, 2005 - September 3, 2009

MUTUAL SERVICE CORPORATION

CRD#: 4806

ATLANTA, GA

Past

April 17, 2003 - January 5, 2004

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

ATLANTA, GA

Past

November 21, 2001 - January 5, 2004

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

October 21, 1999 - November 20, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 15, 1998 - October 29, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 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

Florida
(11/26/2024)

IAR

Texas
(8/26/2024)

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: 8/22/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 10/21/1998

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/24/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/5/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/7/1998

General Securities Representative Examination

Current Firm

FARTHER

CRD#: 302050 / SEC#: 801-116721

RIA

Registered Investment Advisory firm - (7/19/2019 Approved)

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Contact information

Main Address

345 California Street Suite 600, San Francisco, CA 94104

Mailing Address

Phone number

(628) 246-8004

Established

Firm type

Fiscal year end

# of Employees

275

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 (8/11/2025)

FORM ADV PART 2A (8/11/2025)

Regulatory assets under management

Total Number of Accounts	24,245
AUM (Assets Under Management)	$ 7,523,810,877

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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Firm Stability Insights

Michael L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

ROCK CREEK WEALTH PLANNERS AND ADVISORS LLC

COLISEUM WEALTH MANAGEMENT, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FARTHER

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2024

Series 66

Date: 10/21/1998

SIE

Date: 9/24/2018

Series 31

Date: 11/5/1999

Series 7

Date: 10/7/1998

Current Firm

FARTHER

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FARTHER

TRUST BUT VERIFY

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