Inactive

Michael Hugh Smith

Oakbrook Terrace, IL

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Current Employers

Mariner

5700 W. 112Th Street Suite 500, Overland Park, KS 66211 • United States

Current Registrations

Authority	Category	Status	Date
IL	RA	APPROVED	2023-11-03

IL RA
APPROVED

Since 2023-11-03

Branch Locations

One Mid America Plaza Suite 500, Oakbrook Terrace, IL 60181 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
D3 Financial Counselors	Downers Grove	IL	02/2016	10/2018
United Capital Financial Advisers, Llc	Newport Beach	CA	06/2019	11/2023
Unemployed	Riverside	IL	11/2018	05/2019
Mariner Wealth Advisors	Overland Park	KS	11/2023	Present

02/2016 → 10/2018

D3 Financial Counselors

Downers Grove, IL
06/2019 → 11/2023

United Capital Financial Advisers, Llc

Newport Beach, CA
11/2018 → 05/2019

Unemployed

Riverside, IL
11/2023 → Present

Mariner Wealth Advisors

Overland Park, KS

Previous Registrations

2019-12-24 → 2023-12-22

United Capital Financial Advisors

Deerfield, IL

Northbrook, IL

Chicago, IL
2016-03-16 → 2018-10-04

D3 Financial Counselors Llc

Downers Grove, IL
2013-10-03 → 2016-02-16

Fifth Third Securities, Inc.

Westmont, IL
2001-06-15 → 2013-06-04

T. Rowe Price Advisory Services, Inc.

Oak Brook, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-04-12
S63	Uniform Securities Agent State Law Examination	2000-02-05

S65 Uniform Investment Adviser Law Examination

2000-04-12
S63 Uniform Securities Agent State Law Examination

2000-02-05

Designations

Other Names

Mike Smith

View on SEC IAPD

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