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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Duane Smith is an investment advisor representative with Morgan Stanley. Michael has been in the industry since June 1999. Michael has licenses to conduct business in Alabama, Arizona, Arkansas, California, Florida, Georgia, Illinois, Kansas, Michigan, Mississippi, Missouri, New York, North Carolina, South Carolina, Tennessee, and Virginia. Michael is a registered Investment Advisor and Broker Dealer Representative in the state of Tennessee. Michael previously worked at B. RILEY WEALTH MANAGEMENT and CITIGROUP GLOBAL MARKETS INC.. Michael has a farm that is a separate business and does not relate to investment activity.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TN
02/18/2022 - Present
Morgan Stanley (Memphis TN)
TN
06/03/2008 - 02/24/2022
B. RILEY WEALTH MANAGEMENT (Memphis TN)
TN
06/29/1999 - 06/13/2008
CITIGROUP GLOBAL MARKETS INC. (MEMPHIS TN)
IA
Issued 07/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/23/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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