Charles Smith has been Co-Chief Investment Officer of Mayfair Advisory Group since September 2019, is a control person of the firm and directly owns between 25% and 50% of it.
Mayfair Advisory Group, LLC is a Birmingham, AL firm with $806M under management, 395 clients and 4 advisers in one office, as of its February 2026 filing.
Charles Smith’s longest registration was 8 years at Johnson Sterling, Inc. (2003–2012). Before joining Mayfair Advisory Group in 2019, Charles Smith was registered through BHK Investment Advisors and BHK Securities, LLC.
- Mayfair Advisory Group, LLCCurrent– present · 7 yearsBirmingham, AL · Adviser representative · Firm CRD 304668
- BHK Investment Advisors– · 5 yearsBirmingham, AL · Adviser representative · Firm CRD 140515
- BHK Securities, LLC– · 5 yearsBirmingham, AL · Adviser representative · Firm CRD 139665
- Sterne Agee Asset Management, Inc.– · 2 yearsBirmingham, AL · Adviser representative · Firm CRD 130888
- Johnson Sterling, Inc.– · 8 yearsBirmingham, AL · Adviser representative · Firm CRD 106379
Investment adviser representative registrations
Charles Smith is registered as an investment adviser representative in Alabama, since September 2019.
- AlabamaSince 5 September 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 5 May 2003 |
| Series 7 | General Securities Representative Examination | 23 December 2002 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Charles Mitchell Smith
- CRD
- 4609881
- Firm
- Mayfair Advisory Group · CRD 304668
- Role
- Co-Chief Investment Officer
- Office
- 3300 Cahaba Road, Suite 200, Birmingham, AL 35223
- Registration
- Investment adviser registration
- In the industry since
- January 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Charles Smith work?
Charles Smith has been Co-Chief Investment Officer of Mayfair Advisory Group, LLC since September 2019, and is a control person of the firm.
Is Charles Smith a financial advisor?
Yes. Charles Smith has a current investment-adviser registration in Alabama, through Mayfair Advisory Group since September 2019.
How many years of experience does Charles Smith have?
Charles Smith has 23 years in the financial industry, since January 2003, across 5 adviser firms.
What exams has Charles Smith passed?
Charles Smith has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in December 2002. FINRA credited Charles Smith with the SIE, which began in October 2018.
Where did Charles Smith work before Mayfair Advisory Group?
Before Mayfair Advisory Group, Charles Smith was registered through Sterne Agee Asset Management, Inc., April 2012 to September 2014; Johnson Sterling, Inc., November 2003 to February 2012.
Where is Charles Smith based?
Charles Smith’s registered office is in Birmingham, AL.
Is Charles Smith registered with FINRA?
No. Charles Smith has no current broker registration.
How can I verify Charles Smith’s record?
Search CRD 4609881 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Charles Smith’s full registration record.