Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Wadeson Smith is a financial advisor with Vanguard Marketing Corp. in Charlotte, North Carolina. Michael has been in the industry since 2001. Michael is licensed to sell securities in North Carolina and holds FINRA Series 7, 24, 52, 53, and 63 licenses as well as the SIE exam.
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.
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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2
NC
12/21/2011 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
NC
05/29/2007 - 09/20/2007
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
NC
02/18/2005 - 05/29/2007
CITICORP INVESTMENT SERVICES (CHARLOTTE NC)
GA
11/03/2003 - 02/08/2005
TRIAD ADVISORS, INC. (ATLANTA GA)
NJ
06/02/1997 - 12/31/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
NJ
10/23/1995 - 06/02/1997
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 01/06/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/07/2017
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/29/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
Series 52 - Municipal Securities Representative Examination
BC
Issued 12/20/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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