Individual Firm
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MICHAEL ROLLIN SMITH
CRD#: 5112679
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 TWO CHAGRIN HIGHLANDS, 3000 AUBURN DRIVE
SUITE 150
BEACHWOOD, OH 44122
SUITE 150
BEACHWOOD, OH 44122
0
Disclosures
18
Years of Experience
View By:
State Registrations
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California 1/19/2024
B
New Mexico 5/8/2018
B
District of Columbia 5/23/2024
B
New York 3/3/2020
B
Florida 5/17/2017
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North Carolina 5/18/2017
B
Georgia 3/21/2024
B
Ohio 8/13/2014
B
Hawaii 4/5/2021
IA
Ohio 8/13/2014
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Illinois 9/19/2019
B
Pennsylvania 7/30/2015
B
Indiana 3/24/2023
B
South Carolina 10/13/2015
B
Maine 1/21/2025
B
Tennessee 2/23/2021
B
Maryland 1/30/2025
B
Texas 9/23/2022
B
Michigan 9/19/2018
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Virginia 9/8/2023
B
Nevada 2/4/2025
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Washington 10/17/2018
SRO Registrations
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IA
Registered with this firm since 8/13/2014
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Registered with this firm since 8/13/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/03/2012 - 08/04/2014 | FAIRLAWN, OH | |
B | 08/02/2012 - 08/04/2014 | FAIRLAWN, OH | |
IA | 07/30/2008 - 07/23/2012 | CLEVELAND, OH | |
B | 07/29/2008 - 07/23/2012 | CLEVELAND, OH | |
IA | 09/29/2006 - 07/11/2008 | WESTLAKE, OH | |
B | 09/27/2006 - 07/11/2008 | WESTLAKE, OH |
CLEVELAND, OH
07/30/2008 - 07/23/2012
CLEVELAND, OH
07/29/2008 - 07/23/2012
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.