Michael Eugene Smith
CFP®Professional Summary
Michael Eugene Smith, CFP®, who also goes by Michael E Smith, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1980 - 2025. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Financial Planning
- Retirement Planning
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...
Other Aliases
Michael E Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
46 years in the financial services industry
Current & Past Employments
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Current Firm
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.
Contact Information
Main Address
901 3rd Avenue South, Minneapolis, MN 55402Mailing Address
5221 Ameriprise Financial Center, Minneapolis, MN 55474Phone Number
(612) 671-3131Established
Delaware since 06/14/1971Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
14,056SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | — |
| ALVERO, GUMER CRUZ | BOARD DIRECTOR | 1975307 |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| EHELE, STEPHEN JR | DIRECTOR, SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER - FIELD | 1780604 |
| FLANSBURG, BRETT | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATING OFFICER | 2391989 |
| HORWITH, THEODORE ROBERT | VICE PRESIDENT - CONTROLLER, CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 3257001 |
| WILLIAMS, WILLIAM JERRYL | PRESIDENT, DIRECTOR, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 1954117 |
Regulatory Assets Under Management
Total Number of Accounts
2,424,045AUM (Assets Under Management)
$660,474,421,776Disclosures
Regulatory Event
80Civil Event
1Arbitration
103Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2026 | Cover Page | Report |
| 08/19/2025 | Cover Page | Report |
| 09/23/2024 | Cover Page | Report |
| 10/24/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
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.
State Registrations and Notice Filings
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed May 1982About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1980About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by Michael
- Financial Planning
- Retirement Planning
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