Michael Edwin Smith

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 03/2017 → 08/2018
  Mml Investors Services, Llc
  Birmingham, AL
• 07/2016 → 03/2017
  Msi Financial Services
  Birmingham, AL
• 03/2017 → 08/2018
  Massachusetts Mutual Life Insurance Company
  Birmingham, AL
• 08/2018 → 04/2021
  Securian Financial Services Inc
  St Paul, MN
• 08/2018 → 04/2021
  Minnesota Life Insurance Co
  St Paul, MN
• 08/2018 → 04/2021
  Wealth Managment Group
  Birmingham, AL
• 04/2021 → 09/2023
  Sagepoint Financial Inc
  Birmingham, AL
• 09/2023 → Present
  Osaic Wealth, Inc.
  Birmingham, AL

Previous Registrations

• 2021-04-23 → 2023-09-01
  Osaic Services, Inc.
  Birmingham, AL
• 2018-08-21 → 2021-04-07
  Securian Financial Services, Inc.
  Birmingham, AL
• 2017-03-25 → 2018-08-13
  Mml Investors Services, Llc
  Vestavia, AL
• 2015-11-04 → 2017-03-25
  Msi Financial Services, Inc.
  Birmingham, AL
  Jacksonville, FL

Other Businesses

1) CONCOURSE FINANCIAL POSITION: Broker NATURE: Fixed life insurance, Fixed annuities. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/07/2021 ADDRESS: 2501 20th Place South, Suite 300, Birmingham AL 35223, United States DESCRIPTION: Get life insurance quotes for clients. 2) AMERLIFE POSITION: Broker NATURE: Insurance agency INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/10/2021 ADDRESS: 3800 Colonnade Parkway, Suite 540, Birmingham AL 35243, United States DESCRIPTION: Quote fixed life insurance and fixed annuities for clients. 3) FIXED INSURANCE POSITION: Broker NATURE: Mutual Insurance Company INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 3800 Colonnade Parkway, Suite 540, Birmingham AL 35243, United States DESCRIPTION: Service existing life insurance policies sold when I was an employee at Mass Mutual. Quote life insurance policies and fixed annuities. 4) MIKE SMITH FA, LLC POSITION: Owner NATURE: The LLC is set up solely to hold the financial compensation of 1099 Income from my BrokerDealer. All 1099 compensation goes into it, and it pays me a W2 salary. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/25/2019 ADDRESS: 2099 Forest Meadows Circle, Birmingham AL 35242, United States DESCRIPTION: Manage 1099 compensation from the BrokerDealer to the Mike Smith FA, LLC checking account, and pay appropriate salary back to Self.

Exams

• S65 Uniform Investment Adviser Law Examination
  2015-07-02
• S63 Uniform Securities Agent State Law Examination
  1996-04-24

Other Names

• Mike Smith
• Michael Edwin Smith
• Michael Smith