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Michael John Smith is a financial advisor professional located in Gorham, ME. They specialize in financial advisory. With over 24 years of experience, they bring deep expertise to every client.
Michael John Smith - Ameriprise Financial Services, Llc holds an active professional license (FINRA CRD) for your protection.
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Michael John Smith provides financial advisory services through Ameriprise Financial Services, LLC in Gorham, Maine. With 24 years in the financial services industry, Smith brings extensive experience to client relationships. He holds a FINRA CRD registration, which governs his practice in securities and investment advisory work. Ameriprise Financial Services is a well-established firm offering comprehensive financial planning and investment management solutions to help clients work toward their financial goals.
Michael John Smith's FINRA CRD (Central Registration Depository) registration indicates he is registered with the Financial Industry Regulatory Authority, the primary regulator of securities brokers and dealers in the United States. This registration means Smith is authorized to offer securities and investment advisory services and is subject to FINRA's rules, compliance requirements, and ongoing supervision. FINRA registration requires passing qualifying exams and maintaining continuing education standards. Clients working with a FINRA-registered advisor can verify registration status and disciplinary history through FINRA's BrokerCheck system.