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Michael Robert Smith

Janney Montgomery Scott LLC

Charlotte, NC

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Current Employers
Janney Montgomery Scott Llc

1717 Arch Street, Philadelphia, PA 19103 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2025-12-04
SC RA APPROVED 2025-12-04
TX RA APPROVED 2025-12-04
  • NC RA
    APPROVED
    Since 2025-12-04
  • SC RA
    APPROVED
    Since 2025-12-04
  • TX RA
    APPROVED
    Since 2025-12-04

Branch Locations

4064 Colony Road Two Morrocroft Centre, Suite 450, Charlotte, NC 28211 • 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
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Clover SC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Clover SC 11/2016 12/2025
Janney Montgomery Scott Llc Charlotte NC 12/2025 Present
Previous Registrations
  • 2008-01-18 → 2025-12-11
    Wells Fargo Clearing Services, Llc
    Charlotte, NC
    Charlotte, NC
    Clover, SC
    Charlotte, NC
    Rock Hill, SC
    Columbia, SC
    Rock Hill, SC
    Clover, SC
    Clover, SC
Other Businesses

Notary Public, Rock Hill, SC. Notary Public (09/2026) - notarization of client documents. Not investment related, not compensated, 1 hour/month.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-01-14
S63 Uniform Securities Agent State Law Examination 2007-09-13
  • S65 Uniform Investment Adviser Law Examination
    2008-01-14
  • S63 Uniform Securities Agent State Law Examination
    2007-09-13
Designations
Other Names
  • Mike Robert Smith
  • Micheal R Smith

View on SEC IAPD

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Other Offices

FIRST TRYON ADVISORS · CHARLOTTE, NC
MUIRFIELD WEALTH ADVISORS LLC · CHARLOTTE, NC
MAI CAPITAL MANAGEMENT, LLC · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC
ARKADIOS WEALTH ADVISORS · Charlotte, NC
MODERA WEALTH MANAGEMENT, LLC · CHARLOTTE, NC
TLG ADVISORS, INC. · Charlotte, NC
LPL FINANCIAL LLC · CHARLOTTE, NC

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