Michael Rich Smith
Investment Adviser Representative at THE Patriot Financial Group, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Michael Rich Smith is an investment adviser representative with The Patriot Financial Group, LLC in Omaha, NE, where they have been registered since 2026. They have worked in the securities industry since 2024 and have been registered with 5 firms, including LPL Enterprise, LLC and J.p. Morgan Securities LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Nebraska.
Office
Advisors at this office: 3
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Nebraska
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Patriot Financial Group, LLCMay 2026 – no end date reportedWalpole, MA
- Unified Legacy Advisors, LLCMay 2026 – no end date reportedOmaha, NE
- Fidelity InvestmentsAug 2023 – Jun 2025Salt Lake City, UT
- Omaha Gutter Company 1, LLCMay 2022 – Jul 2023La Vista, NE
- Brigham Young University - IdahoFeb 2022 – Dec 2022Rexburg, ID
- Squeeze MediaApr 2022 – Apr 2022Rexburg, ID
- Brigham Young University - IdahoJan 2021 – Apr 2023Rexburg, ID
- Provo City Parks and RecNov 2021 – Dec 2021Provo, UT
- Sunergy SolarMay 2021 – May 2023Port St Lucie, FL
- The Church of Jesus Christ of Latter-day SaintsJan 2019 – Jan 2021Vancouver, WA
- Brigham Young University - IdahoSep 2018 – Dec 2018Rexburg, ID
- Ross StoresJul 2017 – Nov 2017West Jordan, UT
- Riverhouse DesignNov 2017 – Aug 2018West Jordan, UT
- Jordan School districtAug 2016 – Feb 2017West Jordan, UT
- Dish One Satellite LLCNov 2018 – Jan 2019Provo, UT
- Fidelity InvestmentsMar 2025 – Jun 2025Boston, MA
- J.p. Morgan Securities LLCJun 2025 – Oct 2025Riverton, UT
- JP Morgan Chase & CoJun 2025 – Oct 2025Riverton, UT
- Popeyes Louisiana KitchenJan 2017 – Jun 2017West Jordan, UT
- ZEO EnergyApr 2021 – Nov 2021New Port Richey, FL
- ESS WestJan 2022 – Aug 2022Provo, UT
- Ross Stores, IncFeb 2018 – Jun 2018West Jordan, UT
- LPL Enterprise LLCNov 2025 – May 2026Lincoln, NE
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About THE Patriot Financial Group, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
The firm offers investments (including laddered bond portfolios, IRAs, annuities, brokerage accounts, and alternative investments), financial planning (retirement, tax, 401(k), 403(b), college, estate, and profit sharing plans), and insurance (disability income, life, long-term care, group health, and employee benefits).
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 35
- Offices listed on AdvisorFinder:
- 22
- Main office:
- Walpole, MA
- SEC file number:
- 801-80245
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 13, 2026
View full firm profileOther advisors at THE Patriot Financial Group, LLC
Showing 12 of 35 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Michael Rich Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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