MS
Michael J. Smith
INFINITY FINANCIAL SERVICES ADVISORY
Austin, TX 78759
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CRD#: 4455394
MS
Professional summary
Michael Joseph Smith is a registered financial advisor currently at INFINITY FINANCIAL SERVICES ADVISORY located in Austin, Texas and INFINITY FINANCIAL SERVICES located in Austin, Texas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
DBA SMITH FINANCIAL GROUP - START DATE 9/2001; AGENT SELLING FIXED INSURANCE PRODUCTS; PROPRIETOR; 160 HRS/MONTH DEVOTED TO BUSINESS; $100,000 ANNUAL COMPENSATION- NON-INVESTMENT RELATED ////FIXED INSURANCE SALES THROUGH SMITH FINANCIAL GROUP - NOT INVESTMENT RELATED - LICENSED IN TEXAS. /////
CRS (Client Relationship Summary) - RIA
Click below to view Michael Joseph Smith'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
July 22, 2022 - Present
INFINITY FINANCIAL SERVICES ADVISORY
Office #1: 11824 Jollyville Road Suite 500, Austin, TX 78759RIA
CRD#: 304981
Austin, TX
Current
July 19, 2022 - Present
INFINITY FINANCIAL SERVICES
Office #1: 11824 Jollyville Road Suite 500, Austin, TX 78759BD
CRD#: 144302
Austin, TX
Past
July 19, 2017 - July 19, 2022
TITAN SECURITIES
RIA
CRD#: 131392
Cedar Park, TX
Past
September 19, 2016 - July 19, 2022
TITAN SECURITIES
BD
CRD#: 131392
Cedar Park, TX
Past
March 17, 2006 - March 5, 2008
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
CEDR PARK, TX
Past
September 26, 2001 - March 5, 2008
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
CEDR PARK, TX
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".
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
Registered Investment Advisory firm - (12/5/2019 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/19/2022)
RR
Colorado(7/19/2022)
RR
Indiana(7/19/2022)
RR
Missouri(7/19/2022)
RR
New York(1/18/2023)
RR
Pennsylvania(7/19/2022)
RR
Tennessee(7/19/2022)
RR
Texas(7/22/2022)
IAR
Texas(7/22/2022)
RR
Utah(7/19/2022)
RR
Washington(7/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IF
INFINITY FINANCIAL SERVICES ADVISORY
FERRIER FINANCIAL | TRI VALLEY WEALTH MANAGEMENT | STERLING FIRST FINANCIAL | SMITH FINANCIAL GROUP | SILVERLIGHT FINANCIAL | SAOR FINANCIAL | PROVIDENCE FINANCIAL MANAGEMENT | ONELINK FINANCIAL SERVICES | MYZ FINANCIAL | MEDINA PRIVATE WEALTH | LOVELL WEALTH MANAGEMENT | LGC FINANCIAL | JONES CAPITAL MANAGEMENT | INFINITY FINANCIAL SERVICES ADVISORY | HOLADAY FINANCIAL | GUIDANCE FINANCIAL | GILBERT GREG RIA, LLC
CRD#: 304981 / SEC#: 801-117719
RIA
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Contact information
Main Address
212 9th Street Suite 202, Oakland, CA 94607
Mailing Address
Phone number
(510) 588-8000
Established
Firm type
Fiscal year end
# of Employees
36
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 918 |
| AUM (Assets Under Management) | $ 150,097,662 |
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.
