Michael Smith, financial advisor Maryville TN

Michael Smith

CRD Number: 5980903
Current Firm: Quality Financial Concepts

Michael Smith (CRD# 5980903) is an Investment Advisor Representative working at Quality Financial Concepts in Maryville, TN and has over 12 years of experience in the finance industry. Michael Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Crown Capital Securities, LP Orange, CA Jan 2018 - Current 6
Quality Financial Concepts Maryville, TN Dec 2013 - Current 10
Securities America, Inc. Kingsport, TN Dec 2016 - Dec 2017 1
Foothill Securities, Inc. Kingsport, TN Aug 2011 - Dec 2016 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Jan 2012
Contact Info for Michael S. Smith
Phone Number: 865-984-3550
Registered State(s):
  • NY
  • TN
  • VA
By the Numbers
  • Total Assets Under Management
    74
    MILLIONS
  • Total Number of Accounts
    519
    ACCOUNTS
  • Average Account Value
    $143,359
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

NY, TN, TX, VA

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