Michael H. Smither
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.
Michael Hardie Smither was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1999. Michael had worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2005 - February 16, 2024
INDEXEDGE INVESTMENT CONSULTING, L.L.C.
June 26, 2003 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2003 - April 5, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2002 - May 1, 2003
CAPITAL ONE INVESTMENTS, LLC
November 10, 1999 - May 1, 2003
CAPITAL ONE INVESTMENTS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
INDEXEDGE INVESTMENT CONSULTING, L.L.C.
CRD#: 135417 / SEC#: 801-69476
Contact information
Regulatory assets under management
| Total Number of Accounts | 10 |
| AUM (Assets Under Management) | $ 7,045,538 |
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.
