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Information

Other Names: Grey Smith, Michael Grey
Firm:
Additional Firm:
Type: RIA
Description

Michael Smith is a financial professional at Asset Advisors of America, LLC, based in Longwood, FL. Michael is also registered with Ruggie Wealth Management, a $286M RIA based in Tavares, FL. Michael has held an industry securities registration for 7 years and is subject to SEC oversight.

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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

Pension and Profit Sharing Plans

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

Experience and Employment History

Employer Years Dates
Ruggie Wealth Management 11 months, 4 weeks 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
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 10/07/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Not registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
10/07/2013
01/03/2014
*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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/05/2013
Uniform Securities Agent State Law Examination Series 63 04/14/2012
Investment Company Products/Variable Contracts Representative Examination Series 6 04/03/2012
Futures Managed Funds Examination Series 31 02/11/1994
General Securities Representative Examination Series 7 12/21/1993
National Commodity Futures Examination Series 3 09/12/1988

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Other: THIRD-PARTY REFERRAL FEES