Michael Smith has been an investment adviser representative at QFC Advisory since December 2013, and is not listed among the firm’s executive officers or direct owners.
QFC Advisory LLC is a Maryville, TN firm with $129M under management, 211 clients and 2 advisers in one office, as of its June 2026 filing.
- Quality Financial ConceptsCurrent– present · 12 yearsMaryville, TN · Adviser representative · Firm CRD 118886
Investment adviser representative registrations
Michael Smith is registered as an investment adviser representative in 3 states. The first approvals date from August 2018; the most recent are New York and Tennessee, in June 2026.
- New YorkSince 2 June 2026
- TennesseeSince 2 June 2026
- VirginiaSince 16 August 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 16 August 2012 |
| Series 66 | Uniform Combined State Law Examination | 12 January 2012 |
| Series 7 | General Securities Representative Examination | 8 December 2011 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Michael Shane Smith
- CRD
- 5980903
- Firm
- QFC Advisory · CRD 118886
- Office
- 115 WEST BROADWAY AVENUE, Maryville, TN 37801-4703
- Registration
- Investment adviser and broker registrations
- In the industry since
- December 2011
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Michael Smith work?
Michael Smith is an investment adviser representative registered through QFC Advisory LLC since December 2013, and is not listed among the firm’s executive officers or direct owners.
Is Michael Smith a financial advisor?
Yes. Michael Smith has a current investment-adviser registration in New York, Tennessee and Virginia, through QFC Advisory since December 2013.
How many years of experience does Michael Smith have?
Michael Smith has 14 years in the financial industry, since December 2011, across 1 adviser firm.
What exams has Michael Smith passed?
Michael Smith has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in December 2011. FINRA credited Michael Smith with the SIE, which began in October 2018.
Where is Michael Smith based?
Michael Smith’s registered office is in Maryville, TN.
Is Michael Smith registered with FINRA?
Yes. Michael Smith has a current broker registration, under CRD 5980903.
Source: FINRA BrokerCheck
How can I verify Michael Smith’s record?
Search CRD 5980903 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Michael Smith’s full registration record.