Michael Scott Smith

Employer firm

Ameriprise Financial Services, LLC CRD 6363

$660B regulatory AUM 124,349 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2009 → 09/2016
  Morgan Stanley Smith Barney Llc
  El Paso, TX
• 01/2015 → 09/2016
  Morgan Stanley Private Bank, National Association
  New York, NY
• 09/2016 → 04/2024
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  El Paso, TX
• 10/2016 → 04/2024
  Bank Of America, N.A.
  El Paso, TX
• 04/2024 → Present
  Ameriprise Financial Services, Llc
  Denver, CO

Previous Registrations

• 2016-09-02 → 2024-04-23
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  El Paso, TX
  Denver, CO
  Denver, CO
  Greenwood Village, CO
• 2009-06-01 → 2016-09-09
  Morgan Stanley
  El Paso, TX
• 2009-01-14 → 2009-06-01
  Morgan Stanley & Co. Llc
  El Paso, TX
  Surprise, AZ

Other Businesses

Business Ownership; Cain and Company LLC; Co-owner; Consulting; 4019 W. Escuda Drive, , Glendale, AZ, 85308; Not Investment-Related; 06/04/1998; 0 hours per month; 0 during trading hours / Zen Zoe Imports LLC; Owner; Consulting; 4019 W. Escuda Drive, , Glendale, AZ, 85308; Not Investment-Related; 12/20/1995; 0 hours per month; 0 during trading hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-11-25
• S63 Uniform Securities Agent State Law Examination
  1998-11-17

Designations

• Certified Financial Planner

Other Names

• Michael S Smith
• Michael Smith
• Mike Scott Smith
• Mike S Smith
• Mike Smith
• Michael S Smith