Michael R. Smith

TRUSTAGE INVESTMENT MANAGEMENT

Madison, WI 53705

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CRD#: 6022378

Professional summary

Michael Ray Smith, CFP® is a registered financial advisor currently at TRUSTAGE INVESTMENT MANAGEMENT located in Madison, Wisconsin and CUNA BROKERAGE SERVICES, INC. located in Parkersburg, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Michael has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ray 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^®

Certified Financial Planner

Experience

Current

October 16, 2019 - Present

TRUSTAGE INVESTMENT MANAGEMENT

Office #1: 5910 Mineral Point Rd, Madison, WI 53705

RIA

CRD#: 105960

Madison, WI

Current

September 18, 2012 - Present

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Parkersburg, IA

Past

September 18, 2012 - October 30, 2019

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Waunakee, WI

Past

July 12, 2012 - August 31, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MADISON, WI

Past

June 7, 2012 - August 31, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MADISON, WI

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".

TRUSTAGE INVESTMENT MANAGEMENT

MEMBERS CAPITAL ADVISORS, INC. | TRUSTAGE INVESTMENT MANAGEMENT

CRD#: 105960 / SEC#: 801-18140

RIA

Registered Investment Advisory firm - (1/4/1983 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.

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

Illinois
(3/12/2025)

Michigan
(10/17/2012)

Virginia
(10/17/2012)

Wisconsin
(9/18/2012)

IAR

Wisconsin
(10/16/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/10/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/6/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRUSTAGE INVESTMENT MANAGEMENT

MEMBERS CAPITAL ADVISORS, INC. | TRUSTAGE INVESTMENT MANAGEMENT

CRD#: 105960 / SEC#: 801-18140

RIA

Registered Investment Advisory firm - (1/4/1983 Approved)

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Contact information

Main Address

5910 Mineral Point Rd, Madison, WI 53705

Mailing Address

Phone number

(608) 238-5851

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

MEMBERS CAPITAL ADVISORS (D/B/A TRUSTAGE INVESTMENT MANAGEMENT) BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	363
AUM (Assets Under Management)	$ 37,252,230,000

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.

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Advisor Monitoring

Firm Stability Insights

Michael R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Ray Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRUSTAGE INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 7/10/2012

SIE

Date: 10/1/2018

Series 7

Date: 6/6/2012

Series 24

Date: 2/18/2015

FINRA

Current Firm

TRUSTAGE INVESTMENT MANAGEMENT

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUSTAGE INVESTMENT MANAGEMENT

TRUST BUT VERIFY

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