Michael Smith
Michael Smith is a CFP-designated registered investment advisor at LPL Financial LLC, based in Maryville, TN, with 14 years of industry experience. Michael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
115 West Broadway Avenue, Maryville, TN, 37801-4703
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Michael works for the University of TN, spending minimal time. He is also a notary public, spending minimal time. Michael also engages in non-variable insurance activities through Financial Professionals Group, and is a Registered Investment Advisor through Quality Financial Concepts, dedicating about half their time and about a quarter of their time, respectively.
Employment History
Current Registrations
LPL Financial LLCBroker
Quality Financial Concepts
Previous Registrations
Crown Capital Securities, L.P.Broker
Securities America, INC.Broker
Foothill Securities, INC.Broker
State Registrations20 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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