Michael SmithCRD Number: 3157184
Current Firm: Fifth Third Securities, Inc.
Michael Smith (CRD# 3157184) is an Investment Advisor Representative working at Fifth Third Securities, Inc. in Kannapolis, NC and has over 18 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Fifth Third Securities||Concord, NC||Mar 2012 - Current||5|
|Wells Fargo Advisors LLC||Concord, NC||May 2009 - Mar 2012||2|
|Wachovia Bank, N.a.||Concord, NC||Jun 2002 - Mar 2012||9|
|Wachovia Securities, LLC||Concord, NC||Jun 2003 - May 2009||5|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S65||NASAA Investment Advisors Law Examination||Jun 2007|
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
Total Assets Under Management813MILLIONS
Total Number of Accounts4,744ACCOUNTS
Average Account Value$171,395
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
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