# MIKE FRANCIS SMITH

MIKE FRANCIS SMITH is an investment adviser representative (IAR) with state registration records since 2002, appearing at 3 firms. Currently registered with UBS FINANCIAL SERVICES INC..

## Registration history (4)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [UBS FINANCIAL SERVICES INC.](https://search.stillhousedata.com/firm/8174) | 2023-11-14 | present | Yes |
| [ROCKEFELLER FINANCIAL LLC](https://search.stillhousedata.com/firm/291361) | 2022-10-28 | 2023-10-13 | — |
| [UBS FINANCIAL SERVICES INC.](https://search.stillhousedata.com/firm/8174) | 2006-07-26 | 2022-10-27 | — |
| [MORGAN STANLEY DW INC.](https://search.stillhousedata.com/firm/7556) | 2002-07-31 | 2006-07-20 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/1397389)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/1397389.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.