Amy V. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Amy Van Hoose Smith, CFP®, who also goes by Amy Van Hoose Butler, Amy Louise Vanhoose, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1989. Amy had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1998
Experience
January 3, 2022 - April 21, 2023
CASSADAY & COMPANY, INC.
April 7, 2020 - January 4, 2022
CASSADAY & CO INC
April 2, 2020 - April 21, 2023
OSAIC WEALTH, INC.
February 25, 2011 - April 2, 2020
AMY V. SMITH WEALTH MANAGEMENT, LLC
January 2, 2009 - February 24, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 7, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 6, 1995 - January 8, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 31, 1995 - April 7, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 21, 1989 - July 11, 1990
DMG SECURITIES, INC.
Primary Firm SEC Registration
CASSADAY & COMPANY, INC.
CRD#: 317672 / SEC#: 801-122868
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CASSADAY & COMPANY, INC.
CRD#: 317672 / SEC#: 801-122868
Contact information
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,267 |
| AUM (Assets Under Management) | $ 7,138,784,240 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
