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Michelle E. Smith

CRD# 4336289·Registered 2004 - 2025
Previously Registered: Being a previously registered professional could mean that Michelle 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.

Professional Summary

Michelle E. Smith, who also goes by Darla Michelle Easterling, Michelle E Smith, Michelle Easterling Smith, Michelle Smith, was a registered financial advisor. Michelle was a previously registered financial professional and started their career in finance 2004 - 2025. Michelle had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Darla Michelle Easterling, Michelle E Smith, Michelle Easterling Smith, Michelle Smith

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

22 years in the financial services industry

Current & Past Employments

STONEX OUTSOURCED SERVICES LLC·CRD# 30773
BD
Park City, UT
August 18, 2022 - January 31, 2025
STONEX SECURITIES INC.·CRD# 18456
BD
Birmingham, AL
June 14, 2022 - January 31, 2025
STONEX FINANCIAL INC.·CRD# 45993
BD
Birmingham, AL
June 14, 2022 - January 31, 2025
CETERA INVESTMENT SERVICES LLC·CRD# 15340
BD
Birmingham, AL
June 17, 2020 - June 7, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
BD
Birmingham, AL
January 21, 2004 - December 7, 2017

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Current Firm

SO
STONEX OUTSOURCED SERVICES LLC

CRESSMAN ESSER SECURITIES LLC | STONEX OUTSOURCED SERVICES LLC | MARIANA CAPITAL USA, LLC | INTL FILLMORE ADVISORS LLC | FILLMORE ADVISORS, LLC | FILLMORE ADVISOR, LLC | CRESSMAN ESSER SECURITIES, INC.

CRD#: 30773 / SEC#: 8-45150
BD
Terminated by SEC on 03/25/2025

Contact Information

Established

Delaware since 12/30/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
CAPLAN, ANDREW BOGENPRESIDENT/CHIEF EXECUTIVE OFFICER4235343
OLSSON, JAMES MARTINCCO/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER6331790

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2005About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2004About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed May 2006About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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