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RIA / WealthAdvisorCertified Financial Planner26 years in industry

MICHAEL HUGH SMITH

Advisor at MARINER

Oakbrook Terrace, IL

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Search this name across graphsid dfx:ria:55f11c38-48fd-ac9e-80b8-82232b7b249b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:44 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jun 15, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MARINER
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 5, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Feb 5, 2000
First registration: Jun 15, 2001
Dual registered: no
Other names: MIKE SMITH
IAPD individual key: 4056682

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Mariner	Bd affiliated wealth	Nov 3, 2023	n/a	yes	Oakbrook Terrace, IL	Current employment
UNITED CAPITAL FINANCIAL ADVISORS	Independent wealth	Dec 24, 2019	Dec 22, 2023	no	DEERFIELD, IL\|NORTHBROOK, IL\|Chicago, IL	Previous registration
D3 FINANCIAL COUNSELORS LLC	Former SEC adviser	Mar 16, 2016	Oct 4, 2018	no	DOWNERS GROVE, IL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Oct 3, 2013	Feb 16, 2016	no	WESTMONT, IL	Previous registration
T. ROWE PRICE ADVISORY SERVICES, INC.	Bd affiliated wealth	Jun 15, 2001	Jun 4, 2013	no	OAK BROOK, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED CAPITAL FINANCIAL ADVISORS	Mariner	Dec 22, 2023	Nov 3, 2023	-49	Firm change after gap	RIA to ibd
D3 FINANCIAL COUNSELORS LLC	UNITED CAPITAL FINANCIAL ADVISORS	Oct 4, 2018	Dec 24, 2019	446	Firm change after gap	RIA to ibd
FIFTH THIRD SECURITIES, INC.	D3 FINANCIAL COUNSELORS LLC	Feb 16, 2016	Mar 16, 2016	29	Firm change	Other
T. ROWE PRICE ADVISORY SERVICES, INC.	FIFTH THIRD SECURITIES, INC.	Jun 4, 2013	Oct 3, 2013	121	Firm change	Other

Relationships

Registered with (5)

→ MARINERRegistered adviserregistration: current employment
Nov 3, 2023 to presentfactForm ADV
→ UNITED CAPITAL FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Dec 24, 2019 to Dec 22, 2023factForm ADV
→ D3 FINANCIAL COUNSELORS LLCRegistered adviserregistration: previous registration
Mar 16, 2016 to Oct 4, 2018factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Oct 3, 2013 to Feb 16, 2016factForm ADV
→ T. ROWE PRICE ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jun 15, 2001 to Jun 4, 2013factForm ADV

Dated events

Occurred
Dec 22, 2023
Advisor changed firm
Michael Hugh Smith left United Capital Financial Advisors for Mariner (registered 2023-11-03)
Form ADVobserved 6 days ago