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Detailed Report
MICHAEL DAVID SMITH
DAVID SMITH
CRD#: 3157184
IA
Investment Adviser
B
Broker
FIFTH THIRD SECURITIES, INC.CRD#: 628 606 SOUTH MAIN STREET
KANNAPOLIS, NC 28081
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (13 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2000 - 2012 (11 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1999 - 2000 (1 year)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2007 - 2012 (4 years)
Disclosure(s)
View By:
8/18/2023
Customer Dispute
Denied
License(s)

State Registrations

B
Colorado 2/13/2020
IA
North Carolina 3/21/2012
B
Florida 4/9/2015
B
Oregon 11/14/2022
B
Kentucky 7/25/2016
B
South Carolina 3/21/2012
B
Maryland 5/31/2024
B
Tennessee 9/2/2014
B
Massachusetts 3/6/2014
IA
Texas 6/28/2019
B
New Hampshire 1/29/2013
B
Virginia 2/25/2014
B
New Mexico 10/19/2018
B
Wisconsin 11/4/2021
B
North Carolina 3/21/2012

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIFTH THIRD SECURITIES, INC. (CRD#:628)
606 SOUTH MAIN STREET, KANNAPOLIS, NC 28081
139 SOUTH CENTRAL AVE, LANDIS, NC 28088
Registered with this firm since 3/21/2012
B
FIFTH THIRD SECURITIES, INC. (CRD#:628)
606 SOUTH MAIN STREET, KANNAPOLIS, NC 28081
139 SOUTH CENTRAL AVE, LANDIS, NC 28088
Registered with this firm since 3/21/2012
Previous Registration(s)
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 06/25/2007 - 03/20/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CONCORD, NC
B
 10/01/2000 - 03/20/2012 WELLS FARGO ADVISORS, LLC (CRD#:19616) CONCORD, NC
B
 01/19/1999 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.