Michael Alexander Smith

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2018-08-01

GA RA
APPROVED

Since 2018-08-01

Branch Locations

Phipps Tower-3438 Peachtree Rd Ne Suite 950, Atlanta, GA 30326 • 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
Oppenheimer & Co. Inc.	Atlanta	GA	01/2014	Present

01/2014 → Present

Oppenheimer & Co. Inc.

Atlanta, GA

Other Businesses

1. TRADING AUTHORITY ON LARA H. SMITH( WIFE)IRA. FIDELITY INVESTMENTS, PO BOX 770001, COLUMBUS OH. 45277. INVESTMENT RELATED. APPROX 1 HR PER MONTH. 2. OFFICER IN ARM VENTURES, AN LLC ESTABLISHED FOR RENTAL PROPERTY ON LAKE LANIER IN GA. ADDRESS OF LLC IS MY PRIMARY RESIDENCE. NOT INVESTMENT RELATED. ESTABLISHED IN 2007. - ZERO HOURS SPENT DURING TRADING HOURS - APPROXIMATELY 2 HOURS PER MONTH OVERALL. - DUTIES INCLUDE RENTAL DOCS, MAINTENANCE & UPKEEP OF THE RENTAL FACILITY. 3. SENIORS HELPING SENIORS-BUCKHEAD. NON INVESTMENT RELATED. 1357 FERNWOOD CIR NE, BROOKHAVEN,GA 30319. SENIOR NON-MEDICAL CARE. C-CORP MEMBER & TREASURER. STARTED 2/3/25. APPROX. 5 HRS./MONTH

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-07-11
S63	Uniform Securities Agent State Law Examination	1997-07-16

S65 Uniform Investment Adviser Law Examination

2018-07-11
S63 Uniform Securities Agent State Law Examination

1997-07-16

Other Names

Michael Smith

View on SEC IAPD