Michael Smith, financial advisor Indian Wells CA
81 score

Michael Smith

CRD Number: 5449889
Current Firm: Charles Schwab & Company, Inc.

Michael Smith (CRD# 5449889) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Indian Wells, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Charles Schwab Bank Indian Wells, CA Jun 2010 - Current 6
Charles Schwab & Company, Inc. Indian Wells, CA Nov 2007 - Current 9
West Coast Car Sales Riverside, CA Mar 2013 - Apr 2015 2
Segway Financial Irvine, CA Nov 2005 - Sep 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2008
S66 NASAA Uniform Combined State Law Examination Sep 2014
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Michael K. Smith
Phone Number: 415-667-7000
Firm Website: https://www.schwab.com
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
81

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