Michael E. Smith
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CRD#: 715100
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael Eugene Smith, CFP®, who also goes by Michael E Smith, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1980. Michael had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 51 and Series 24 exams.
Biography
The closer one gets to retiring, the more complicated financial planning can become. Even a comfortable nest egg can start to crack. Decisions that might have been postponed for years, concerning social security, 401(k)s, investment allocation, insurance, legacy planning, real estate and more, may need to be made. Tax laws can be confusing. The economic landscape is unpredictable. Timing can be critical to achieve your goals.
Michael Smith & Associates, a private wealth advisory practice of Ameriprise Financial Services, LLC, helps simplify the process by providing carefully crafted financial plans for individuals, couples and families in Central Wisconsin. "We explain Wall Street in the language of Main Street," says Michael Smith, Private Wealth Advisor, CFP®, MSFS, founder and President of the Stevens Point-based financial advisory practice. Smith and his highly qualified, 10-member team balance conservative financial principles with the need to
continually "think outside the box," offering holistic plans based on each client's unique needs, goals and risk tolerance. Each portfolio is managed by the team, with prompt communication when adjustments may be beneficial to changing circumstances.
As an advisory practice of Ameriprise Financial Services, LLC, Michael Smith & Associates has access to up-to-date data from a longstanding leader in financial planning and advice. Ameriprise's new goal-tracking software enables clients to track their retirement goals and progress online. “We strive to excel at every step of the wealth management process" Smith says.
Inspired by Innovation
Smith has always been a problem solver, looking for better, more efficient ways to do things. In fact, that's how he became a financial advisor in the first place. While working as a production supervisor at a factory in his 20s, he figured
out a way to improve output from a certain machine, doubling the speed of an assembly line. His bosses were so impressed they rewarded him with a cash bonus and sent him back to school to take business classes.
“I took an economics course and the instructor suggested we read the Wall Street Journal for a semester" Smith says. “l became fascinated with business stories and investments. After about a year, I decided to pursue a career in the investment field." Four decades later, Smith is one of Wisconsin’s highly acclaimed financial advisors. He was named to the Forbes' Best-In-State Wealth Advisor list in 2018, 2019 and 2020, an objective ranking developed by SHOOK Research and based on a wide range of criterion, which is available on request.
Michael Smith & Associates welcome retirement-minded individuals
and couples to make an appointment for a complimentary initial consultation. We also offer a monthly newsletter - call or email our office to be added to the mailing list.
Michael Smith's Awards and Recognition:
• Ameriprise Community lmpact Award, 2019
• Barron's Top l,200 Financial Advisors State-by-State, 2018 - 2020
• Forbes Best-ln-State Wealth Advisors, 2018 - 2020
• Ameriprise Circle of Success, 1993 - 2020
• Ameriprise Chairman's Advisory Council, 20l5 - 20l8
• Financial Times Top 400 US Financial Advisors, 20l5
Question & Answer
What are your service offerings?
Financial planning
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
500K
Are you a "fiduciary"?
No
Aliases
Michael E 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.
Real Estate Ownership; Commercial; Office Building3241A Business Park DriveStevens Point, WI 54481, , ** not provided **, N/A, 00000; Not Investment-Related; 02/01/2000. Business Ownership; Other; Other; 3241A Business Park Drive Stevens Point, WI 54482, , ** not provided **, N/A, 00000; Not Investment-Related; 11/09/2016; 1 to 9 hours per month; 1 to 9 during trading hours / Other; Other; 3241A Business Park Drive. Stevens Point, WI 54482, , ** not provided **, N/A, 00000; Not Investment-Related; 02/01/2000; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Smith; Michael E; Board Member; 1000 North Oak Avenue, , Marshfield, WI, 54449; Not Investment-Related; 01/01/2021; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Outside Employment; SAA, LLC; Other; 3241A Business Park DriveStevens Point, WI 54482, , ** not provided **, N/A, 00000; Not Investment-Related; 11/09/2016; 1 to 9 during trading hours; 1 to 9 hours per month.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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: 1984
Experience
Past
June 22, 1988 - January 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
STEVENS POINT, WI
Past
June 17, 1988 - January 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
STEVENS POINT, WI
Past
September 8, 1980 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
September 8, 1980 - June 27, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
September 8, 1980 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
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".
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
AMERICAN EXPRESS FINANCIAL ADVISORS INC. | IDS MARKETING CORPORATION | COMERICA FINANCIAL ADVISORS | AMERIPRISE FINANCIAL SERVICES, LLC. | AMERIPRISE FINANCIAL SERVICES, LLC | AMERIPRISE FINANCIAL SERVICES, INC. | AMERICAN EXPRESS FINANCIAL ADVISORS, INC.
CRD#: 6363 / SEC#: 801-28543, 8-16791
RIA
Registered Investment Advisory firm - SEC (12/5/1986 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
9013rd Avenue South, Minneapolis, MN 55402
Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474
Phone number
(612) 671-3131
Established
Delaware since 06/14/1971
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
14,000
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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
AMERIPRISE FINANCIAL SERVICES, LLC
Private Weath AdvisorCRD#: 6363TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
