Michael L. Smith
Professional summary
Michael Leon Smith Jr, who also goes by Michael Smith, is a registered financial professional currently at FMI CAPITAL ADVISORS, INC. located in Houston, Texas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Leon Smith Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2022 - Present
FMI CAPITAL ADVISORS, INC.
Office #1: 1301 Mckinney St. Suite 2000, Houston, TX 77010July 8, 2021 - September 27, 2022
PNC CAPITAL MARKETS 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
(10/12/2022)
(10/12/2022)
(10/12/2022)
(10/12/2022)
(10/12/2022)
Exams
Series 79TO
Date: 8/5/2021
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 7/8/2021
General Securities Representative ExaminationFINRA
Current Firm
FMI CAPITAL ADVISORS, INC.
CRD#: 129262 / SEC#: , 8-66206
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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Company Information
FMI CAPITAL ADVISORS, INC.
CRD#: 129262Houston, TX 77010TRUST BUT VERIFY
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