Michael SmithCRD Number: 5392294
Current Firm: Wells Fargo Advisors, LLC
Michael Smith (CRD# 5392294) is an Investment Advisor Representative working at Wells Fargo Advisors, LLC in Rock Hill, SC and has over 10 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.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Wells Fargo Advisors LLC||Clover, SC||May 2009 - Current||8|
|Wachovia Bank, N.a.||Columbia, SC||Jul 2007 - Feb 2012||4|
|Wachovia Securities, LLC||Columbia, SC||Jul 2007 - May 2009||1|
|Cabarrus Pools||Concord, NC||May 2006 - Jul 2007||1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 2007|
|S65||NASAA Investment Advisors Law Examination||Jan 2008|
Total Assets Under Management372,113MILLIONS
Total Number of Accounts1,339,368ACCOUNTS
Average Account Value$277,827
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)