Michael S. Smith
QUALITY FINANCIAL CONCEPTS
Maryville, TN 37801-4703
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CRD#: 5980903
Professional summary
Michael Shane Smith, CFP®, who also goes by Shane Smith, is a registered financial advisor currently at QUALITY FINANCIAL CONCEPTS located in Maryville, Tennessee and LPL FINANCIAL LLC located in Kingsport, Tennessee.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shane Smith
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.
1) 05/01/2024 - University of TN - Non-Inv Related - Knoxville, TN - Outside/W-2 Employment - Started: 1/1/2023 - 1 Hr/Mo; 5% of Time Spent. 2) 05/01/2024 - No Business Name - Inv Related - At Reported Business Location(s) - Notary Public - Started: 4/29/2019 - 1% of Time Spent. 3) 05/01/2024 - Financial Professionals Group - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - Started: 10/1/2013 - 80 Hrs/Mo; 2 Hrs During Trading. 4) 05/01/2024 - QUALITY FINANCIAL CONCEPTS - Inv Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started: 1/1/2018 - 120 Hrs/Mo; 6 Hrs During Trading. 5) 05/08/2024 -QUALITY FINANCIAL CONCEPTS - Inv Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 1/1/2018 - 40 Hrs/Mo; 2 Hrs During Trading - I provide investment advisory services through QUALITY FINANCIAL CONCEPTS, an independent investment advisor firm. I started this business activity in 1/2018. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Shane 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®
CFP®
Start date: 2014
Experience
Current
December 4, 2013 - Present
QUALITY FINANCIAL CONCEPTS
Office #1: 115 West Broadway Avenue, Maryville, TN 37801-4703RIA
CRD#: 118886
Maryville, TN
Current
May 1, 2024 - Present
LPL FINANCIAL LLC
Office #1: 1500 E Stone Dr, Kingsport, TN 37660Office #2: 1828 Airbase Rd, Louisville, TN 37777Office #3: 400 N State Of Franklin Rd, Johnson City, TN 37604Office #4: 115 W Broadway Ave., Maryville, TN 37801RIA
BD
CRD#: 6413
Kingsport, TN
Past
January 2, 2018 - May 1, 2024
CROWN CAPITAL SECURITIES, L.P.
BD
CRD#: 6312
KINGSPORT, TN
Past
December 8, 2016 - December 31, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
KINGSPORT, TN
Past
December 9, 2011 - December 8, 2016
FOOTHILL SECURITIES, INC.
BD
CRD#: 1027
KINGSPORT, TN
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
Colorado(5/1/2024)
RR
Florida(5/16/2024)
RR
Georgia(7/2/2024)
RR
Illinois(2/7/2025)
RR
Indiana(5/29/2024)
RR
Kentucky(5/1/2024)
RR
Maryland(5/1/2024)
RR
Mississippi(5/1/2024)
RR
Missouri(7/22/2024)
RR
New Jersey(5/1/2024)
RR
New Mexico(7/16/2025)
IAR
New York(4/20/2021)
RR
North Carolina(5/8/2025)
RR
Oklahoma(10/15/2025)
IAR
Tennessee(12/4/2013)
RR
Tennessee(5/1/2024)
RR
Texas(5/1/2024)
IAR
Virginia(8/16/2018)
RR
Virginia(5/1/2024)
RR
West Virginia(5/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QF
QUALITY FINANCIAL CONCEPTS
JAMES D. HORN DBA QUALITY FINANCIAL CONCEPTS | QUALITY FINANCIAL CONCEPTS | QFC ADVISORY LLC
CRD#: 118886 / SEC#:
New York
Registered Investment Advisory firm - (4/20/2021 Approved)Tennessee
Registered Investment Advisory firm - (5/30/2003 Approved)Texas
Registered Investment Advisory firm - (3/12/2003 Approved)Virginia
Registered Investment Advisory firm - (8/17/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
115 West Broadway Avenue, Maryville, TN 37801-4703
Mailing Address
Phone number
(865) 984-3550
Established
Firm type
Fiscal year end
# of Employees
4
Regulatory assets under management
| Total Number of Accounts | 532 |
| AUM (Assets Under Management) | $ 103,554,032 |
Red Flags
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Company Information
QUALITY FINANCIAL CONCEPTS
CRD#: 118886Maryville, TN 37801-4703TRUST BUT VERIFY
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