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Keith Smithers
Keith Smithers
Director - Wealth Management
Financial Planning Specialist
17505 W. Catawba Ave.
Suite 300, Waterstreet Seaport Building
Cornelius, NC 28031
tel: 704-896-9126
toll free: 888-417-5344
fax: 704-892-0012
Email Me
Welcome Associations Experience Honors Education Services
Welcome

As your Financial Advisor, I will spend the time to understand your financial concerns and work in partnership with you to develop a customized investment program that can best meet your needs. As our relationship builds over time, I will be able to anticipate your changing circumstances and help advise you on appropriate investment strategies. I look forward to serving your long-term investment needs. Please feel free to call me at any time.
Associations
  • Lake Norman YMCA
    Board of Managers Member 2003 - 2006
    Finance Committee Member 2000 - 2006
    Finance Committee - Chairman 2003 - 2006
  • Davidson United Methodist Church
    Finance Committee Member 1996 - 2006
    Finance Committee Chairman 1999 - 2006
    Member of Board of Stewards 1999 - 2006
    Endowment Committee Member 2002 - 2006
  • Lake Norman Chamber of Commerce
    Member
Business Experience
  • Worked in Financial Services Industry since 1985
  • 2006 - Present: Morgan Stanley Smith Barney*
    Director - Wealth Management
    Financial Planning Specialist
    Lake Norman, NC
  • 1988 - 2006: Legg Mason Wood Walker Inc.
    Senior Vice President - Wealth Management
    Charlotte & Lake Norman , NC
Honors and Recognitions
  • Directors Council - Member 2006-2008
  • Advisory Council - Member 2005
  • Chairman's Council - Member 2001-2004
Education and Licensing
  • Bachelors Degree - Business Administration
    Bowling Green State University
  • Legg Mason Trust Specialist
  • Financial Planning Specialist Designation
  • Series 7 - General Securities Representative
  • Series 63 - Uniform State Exam
  • Series 65 - Investment Advisory Agent
  • Series 9 - General Securities Sales Supervisor-Options Module
  • Series 10 - General Securities Sales Supervisor-General Module
  • Series 31 - Managed Futures & Commodities
  • Life, Heath & Variable Annuity Insurance Licensed
Services
  • Wealth Management
  • Financial Planning
  • Retirement Planning
  • 401k Rollovers
  • Philanthropic Services
  • Estate Planning
  • 529 Plans
Bulletin Board
  • You can access your investment accounts by clicking on Your Portfolio on the right-hand side of this page.
  • I am very appreciative when existing clients introduce friends, family, and business associates for an exploratory meeting. I will do my utmost to meet your highest expectations. Please email a link to my website to anyone in your life that may be facing a life changing event, such as retirement or an estate issue.
Keith Smithers is licensed in the following state(s): AL, AR, AZ, CA, CO, FL, GA, IA, ID, IL, KS, KY, MA, MD, MI, MN, MO, MT, NC, NH, NJ, NM, NY, OH, OR, PA, SC, TN, TX, UT, VA, WA
This information, products and services described here are intended only for individuals residing in states where this Financial Advisor is properly registered as described in this site.
*Includes years at Smith Barney, affiliates and predecessor firms.
Morgan Stanley Smith Barney LLC and its affiliates do not provide tax or legal advice. To the extent that this material or any attachment concerns tax matters, it is not intended to be used and cannot be used by a taxpayer for the purpose of avoiding penalties that may be imposed by law.   Any such taxpayer should seek advice based on the taxpayer's particular circumstances from an independent tax advisor.
FEATURED REPORTS

2009 Annual Financial Planning Limits (pdf)

How Your Account is Protected at Smith Barney (pdf)

Monday Morning Musings (pdf)
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