MS
Michael B. Smith
RUSSELL INVESTMENTS
SEATTLE, WA 98101
Some features on this profile are disabled
CRD#: 5403336
MS
Professional summary
Michael Blair Smith is a registered financial advisor currently at RUSSELL INVESTMENTS located in Seattle, Washington and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in Seattle, Washington.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Blair 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
March 6, 2008 - Present
RUSSELL INVESTMENTS
Office #1: 401 Union Street 18th Floor, Seattle, WA 98101RIA
CRD#: 105734
SEATTLE, WA
Current
November 29, 2007 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 401 Union St 18th Floor, Seattle, WA 98101BD
CRD#: 21771
SEATTLE, WA
Past
July 16, 2019 - April 3, 2024
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
BD
CRD#: 329
SEATTLE, WA
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".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
Registered Investment Advisory firm - (5/21/1982 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
Alabama(3/6/2008)
IAR
Alabama(1/5/2009)
RR
Alaska(3/6/2008)
IAR
Alaska(1/5/2009)
RR
Arizona(3/6/2008)
IAR
Arizona(1/23/2009)
RR
Arkansas(3/6/2008)
IAR
Arkansas(1/5/2009)
RR
California(3/6/2008)
IAR
California(1/5/2009)
RR
Colorado(3/6/2008)
IAR
Colorado(1/5/2009)
RR
Connecticut(3/6/2008)
IAR
Connecticut(1/5/2009)
RR
Delaware(3/6/2008)
IAR
Delaware(1/5/2009)
RR
District of Columbia(3/6/2008)
RR
Florida(3/6/2008)
IAR
Florida(3/12/2009)
RR
Georgia(3/6/2008)
IAR
Georgia(1/8/2009)
RR
Hawaii(3/6/2008)
IAR
Hawaii(1/5/2009)
RR
Idaho(3/6/2008)
IAR
Idaho(1/5/2009)
RR
Illinois(3/6/2008)
IAR
Illinois(1/5/2009)
RR
Indiana(3/6/2008)
IAR
Indiana(1/5/2009)
RR
Iowa(3/6/2008)
RR
Kansas(3/6/2008)
IAR
Kansas(1/5/2009)
RR
Kentucky(3/6/2008)
IAR
Kentucky(1/5/2009)
RR
Louisiana(3/6/2008)
IAR
Louisiana(1/5/2009)
RR
Maine(3/6/2008)
IAR
Maine(1/5/2009)
RR
Maryland(3/6/2008)
IAR
Maryland(1/5/2009)
RR
Massachusetts(3/6/2008)
IAR
Massachusetts(1/8/2009)
RR
Michigan(3/6/2008)
IAR
Michigan(6/17/2010)
RR
Minnesota(3/6/2008)
RR
Mississippi(3/6/2008)
IAR
Mississippi(1/5/2009)
RR
Missouri(3/6/2008)
IAR
Missouri(1/5/2009)
RR
Montana(3/6/2008)
IAR
Montana(1/6/2009)
RR
Nebraska(3/6/2008)
IAR
Nebraska(1/9/2009)
RR
Nevada(3/6/2008)
IAR
Nevada(1/5/2009)
RR
New Hampshire(3/6/2008)
IAR
New Hampshire(1/5/2009)
RR
New Jersey(3/6/2008)
IAR
New Jersey(1/5/2009)
RR
New Mexico(3/6/2008)
IAR
New Mexico(1/6/2009)
RR
New York(3/6/2008)
RR
North Carolina(3/6/2008)
IAR
North Carolina(1/5/2009)
RR
North Dakota(3/6/2008)
IAR
North Dakota(1/12/2009)
RR
Ohio(3/6/2008)
IAR
Ohio(1/6/2009)
RR
Oklahoma(3/6/2008)
IAR
Oklahoma(1/5/2009)
RR
Oregon(3/6/2008)
IAR
Oregon(6/12/2009)
RR
Pennsylvania(3/6/2008)
IAR
Pennsylvania(1/5/2009)
RR
Rhode Island(3/6/2008)
IAR
Rhode Island(1/5/2009)
RR
South Carolina(3/6/2008)
IAR
South Carolina(1/12/2009)
RR
South Dakota(3/6/2008)
IAR
South Dakota(1/6/2009)
RR
Tennessee(3/6/2008)
RR
Texas(3/6/2008)
IAR
Texas(1/5/2009)
RR
Utah(3/6/2008)
IAR
Utah(1/6/2009)
RR
Vermont(3/6/2008)
RR
Virginia(3/6/2008)
IAR
Virginia(1/5/2009)
RR
Washington(3/6/2008)
IAR
Washington(3/6/2008)
RR
West Virginia(3/6/2008)
IAR
West Virginia(1/7/2009)
RR
Wisconsin(3/6/2008)
IAR
Wisconsin(1/5/2009)
RR
Wyoming(3/6/2008)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
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Contact information
Main Address
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
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.
