Michael Smith
Professional summary
Michael Smith, who also goes by Michael Allen Smith, is a registered financial professional currently at ROBINHOOD SECURITIES, LLC located in Lake Mary, Florida.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7TO and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2018 - Present
ROBINHOOD SECURITIES, LLC
Office #1: 500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746December 4, 2018 - January 27, 2022
ROBINHOOD FINANCIAL, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/4/2018)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/1/2018
General Securities Representative ExaminationFINRA
Current Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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