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Michael Case Smith

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Information

Other Names: Grey Smith, Michael Grey
Firm:
Ruggie Wealth Management
Managing Director, Retirement Services
Additional Firm:
Type: RIA
Description

Michael Smith has an ownership stake of Ruggie Wealth Management, a $333M RIA based in Tavares, FL. Michael is also registered with Asset Advisors of America, LLC, based in Longwood, FL. Michael has held an industry securities registration for 8 years and is subject to SEC oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Rwm Asset Management 7 months, 3 weeks Oct 2014 - Present
Ruggie Wealth Management 2 years May 2013 - Present
Financial Telesis, Inc. 11 months, 1 week Mar 2012 - Feb 2013
Harden 11 months Feb 2012 - Jan 2013
Avatar Associates 3 years Jul 2008 - Jul 2011
Zacks Investment Management 3 years, 1 month Jun 2005 - Jul 2008
Self-Employed Consultant 4 years, 10 months Aug 2000 - Jun 2005
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/05/2013
Uniform Securities Agent State Law ExaminationSeries 63 04/14/2012
Investment Company Products/Variable Contracts Representative ExaminationSeries 6 04/03/2012
Futures Managed Funds ExaminationSeries 31 02/11/1994
General Securities Representative ExaminationSeries 7 12/21/1993
National Commodity Futures ExaminationSeries 3 09/12/1988

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Michael Case Smith has not answered any questions on Financial Q&A.

Top Guides

Michael Case Smith has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
03/25/2015
03/26/2015
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees