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Michael David Smith

Fifth Third Securities, Inc.

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About Michael David Smith

Michael Smith is a financial advisor with over 20 years of experience in the financial services industry. Michael is currently registered with Fifth Third Securities, Inc. and has a Series 6, 7, 63, and 65 license. Michael also holds the SIE certification. Michael has previously worked with Wells Fargo Advisors, LLC and First Union Brokerage Services, Inc. Michael provides a variety of financial services to individual and business clients including financial planning, portfolio management, and selection of other advisers. Michael specializes in portfolio management for individuals and businesses.

Firm Information

Michael Smith is currently registered with Fifth Third Securities, Inc.. Fifth Third Securities, Inc. is a corporation headquartered in Cincinnati, Ohio. Founded in 1925, the firm offers a variety of advisory services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Fifth Third Securities, Inc. manages over $7.9 billion in assets for a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans. The firm also participates in a wrap fee program.
Fifth Third Securities, Inc.

606 SOUTH MAIN STREET

KANNAPOLIS, NC 28081

$7.98B

Assets Under Management

Not reported

Total Clients

1,080

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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sponsor wrap fee program

Sponsor wrap fee program

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Michael Smith’s Registration & Firm History

NC

06/28/2019 - Present

Fifth Third Securities, Inc. (KANNAPOLIS NC)

NC

10/01/2000 - 03/20/2012

WELLS FARGO ADVISORS, LLC (CONCORD NC)

NC

01/19/1999 - 10/01/2000

FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)

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Licenses & Designations

IA

Issued 6/23/2007

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 1/19/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/21/2010

Series 7 - General Securities Representative Examination

BC

Issued 1/18/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael David Smith. Review regulatory record here.
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