Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Smith is a financial advisor at LPL Financial LLC. Michael has been in the financial industry since 1998. Michael holds a Series 6, Series 7, Series 24, Series 63 and Series 65 licenses, and is registered with the state of Kentucky, among other states. Michael's experience includes working with various insurance carriers, WADDELL AND REED INC, and SECURIAN FINANCIAL SERVICES, INC. Michael specializes in investment and insurance related services. Michael is also a registered investment advisor.
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.
Consulting and other non-discretionary advisory services
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.
1
2
KY
06/30/2021 - Present
LPL Financial LLC (LOUISVILLE KY)
IN
06/22/2001 - 08/24/2018
WADDELL & REED (INDIANAPOLIS IN)
MN
11/17/1998 - 06/08/2001
SECURIAN FINANCIAL SERVICES, INC. (ST. PAUL MN)
NY
04/15/1998 - 10/16/1998
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
04/15/1998 - 10/16/1998
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
IA
Issued 11/03/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/23/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/2009
Series 7 - General Securities Representative Examination
BC
Issued 04/14/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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