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Detailed Report
MICHAEL TODD SMURL
MICHAEL T SMURL, MICHAEL SMURL, Todd Smurl
CRD#: 2239030
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Investment Adviser
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Previous Broker
INTEGRITY FINANCIAL PLANNING, LLCCRD#: 310974 KATY, TX
Registration History
19952000200520102015202020252 FIRMS2015 - 2016 (1 year)2 FIRMS2017 - 2017 (<1 year)IAINTEGRITY FINANCIAL PLANNING, LLC (CRD# 310974)2020 - Present (4 years)BCOMPASS BROKERAGE, INC. (CRD# 17086)2003 - 2006 (3 years)BBANC OF AMERICA INVESTMENT SER... (CRD# 16361)2002 - 2003 (<1 year)BFIRST COMMERCIAL INVESTMENTS, INC. (CRD# 30542)1994 - 1996 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1994 (2 years)IAASCENDANT ADVISORS, LLC (CRD# 151127)2011 - 2014 (3 years)IABANC OF AMERICA INVESTMENT SER... (CRD# 16361)2003 - 2003 (<1 year)
Disclosure(s)
View By:
9/12/2019
Financial
Final
6/4/2019
Financial
Final
License(s)

State Registrations

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Louisiana 9/7/2021
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Texas 10/30/2020
Current Registration(s)
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INTEGRITY FINANCIAL PLANNING, LLC (CRD#:310974)
KATY, TX
Registered with this firm since 10/30/2020
Previous Registration(s)
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 06/08/2017 - 07/10/2017 CITY NATIONAL ROCHDALE (CRD#:117198) Houston, TX
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 05/26/2017 - 07/10/2017 RIM SECURITIES LLC (CRD#:18466) Houston, TX
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 02/04/2015 - 11/22/2016 THE AYCO COMPANY,L.P. (CRD#:106693) HOUSTON, TX
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 02/20/2015 - 11/22/2016 MERCER ALLIED COMPANY, L.P. (CRD#:37404) HOUSTON, TX
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 01/06/2011 - 03/31/2014 ASCENDANT ADVISORS, LLC (CRD#:151127) HOUSTON, TX
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 09/10/2003 - 12/15/2006 COMPASS BROKERAGE, INC. (CRD#:17086) HOUSTON, TX
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 01/02/2003 - 07/08/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LITTLE ROCK, AR
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 11/15/2002 - 07/08/2003 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) BOSTON, MA
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 10/11/1994 - 05/29/1996 FIRST COMMERCIAL INVESTMENTS, INC. (CRD#:30542) LITTLE ROCK, AR
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 06/01/1992 - 08/31/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.