Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Keith Smith is a financial advisor associated with Charles Schwab & CO., Inc., registered to offer securities and investment advisory services in 21 states. Smith has been in the industry since May 2008 and holds multiple licenses including Series 63, 66, 7, 9, 10 and SIE. Smith is also licensed as an investment advisor in California.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
09/08/2014 - Present
Charles Schwab & CO., Inc. (Indian Wells CA)
BOTH
Issued 09/05/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/25/2013
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/29/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/28/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Michael Smith is the right advisor for you? Invested Better is here to help.
