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Gregory Michael Smith

Ceros Financial Services, Inc.

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About Gregory Michael Smith

Gregory Michael Smith is a financial advisor with over 20 years of experience in the financial services industry. Gregory holds a Series 7, Series 63, Series 24, Series 86, Series 87 and Series 16 licenses and is registered with the state of Maryland. Gregory is currently employed at Ceros Financial Services, Inc., where he has been since 2011. Prior to that, Gregory was employed at Ameriprise Financial Services, Inc., and Ameriprise Advisor Services, Inc.

Firm Information

Gregory Smith is currently registered with Ceros Financial Services, Inc.. Ceros Financial Services, Inc. is a Corporation formed in September 1994. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico, as well as with the Securities and Exchange Commission. The firm has reported 3 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

57

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Gregory Smith’s Registration & Firm History

MD

10/28/2011 - Present

Ceros Financial Services, Inc. (ROCKVILLE MD)

MN

10/05/2009 - 11/05/2009

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MI

04/04/2001 - 10/05/2009

AMERIPRISE ADVISOR SERVICES, INC. (DETROIT MI)

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Licenses & Designations

IA

Issued 03/01/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/19/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/12/2006

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2004

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 10/08/2004

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 03/03/2004

Series 16 - NYSE Supervisory Analyst Examination

BC

Issued 04/03/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Gregory Michael Smith.
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