Michael Smith
Professional summary
Michael Smith, who also goes by Michael Allen Smith, is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 3 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
June 16, 2026 - Present
WILSON-DAVIS & CO., INC.
Office #1: 136 South Main Street Suite 500, Salt Lake City, UT 84101-2104December 4, 2018 - January 27, 2022
ROBINHOOD FINANCIAL, LLC
December 4, 2018 - April 2, 2026
ROBINHOOD SECURITIES, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/1/2018
General Securities Representative ExaminationFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
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.
Company Information
WILSON-DAVIS & CO., INC.
CRD#: 3777Salt Lake City, UT 84101-2104TRUST BUT VERIFY
Monitor Michael Smith
Get automatic monthly alerts on:
