Michael Carlton Smith

Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-02
TN	RA	APPROVED	2011-06-20

TX RA
APPROVED_RES

Since 2019-01-02
TN RA
APPROVED

Since 2011-06-20

Branch Locations

10114 Parkside Drive Suite 102, Knoxville, TN 37922-1944 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

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

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Knoxville	TN	05/2011	Present
Charles Schwab Bank, Ssb	Knoxville	TN	05/2011	Present

05/2011 → Present

Charles Schwab & Co., Inc.

Knoxville, TN
05/2011 → Present

Charles Schwab Bank, Ssb

Knoxville, TN

Previous Registrations

2009-12-17 → 2011-05-18

First Horizon Advisors, Inc.

Knoxville, TN

Knoxville, TN
2010-01-22 → 2011-05-18

Ftb Advisors, Inc.

Memphis, TN

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-12-16
S63	Uniform Securities Agent State Law Examination	1998-09-04

S66 Uniform Combined State Law Examination

2009-12-16
S63 Uniform Securities Agent State Law Examination

1998-09-04

Other Names

Mike Smith

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Names

Other Firms

Other Investors

Other Offices

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