Charles M. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Charles Michael Smith, CFP®, who also goes by Mike Smith, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1999. Charles had worked at 6 firms and has passed the Series 66, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - December 5, 2013
R SQUARED FINANCIAL CONSULTING, LLC
June 14, 2004 - January 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 14, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
June 14, 2004 - January 23, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
March 3, 2004 - April 13, 2004
M HOLDINGS SECURITIES, INC.
December 18, 2003 - April 13, 2004
M HOLDINGS SECURITIES, INC.
February 15, 2002 - December 31, 2003
BCG INVESTMENT ADVISORS, LLC
June 18, 2001 - January 5, 2004
BCG INVESTMENT RESOURCES, INC.
October 30, 2000 - January 24, 2001
IDS LIFE INSURANCE COMPANY
October 30, 2000 - January 24, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 1999 - April 20, 2000
IDS LIFE INSURANCE COMPANY
August 11, 1999 - April 20, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
R SQUARED FINANCIAL CONSULTING, LLC
CRD#: 164282 / SEC#:
Contact information
Red Flags
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