AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RW

Robert L. Wiley

Some features on this profile are disabled
CRD#: 2037198
RW

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.

Robert Leroy Wiley III was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1993. Robert had worked at 6 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 82, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 31, 2018 - September 3, 2018

SMI CAPITAL MARKETS LLC

BD
CRD#: 156441
BELLEVUE, WA
Past

September 7, 2007 - December 16, 2008

ALLIANCEBERNSTEIN L.P.

RIA
CRD#: 108477
SEATTLE, WA
Past

September 7, 2007 - December 16, 2008

SANFORD C. BERNSTEIN & CO., LLC

BD
CRD#: 104474
SEATTLE, WA
Past

August 10, 1998 - January 31, 2005

BURRIDGE GROUP LLC

RIA
CRD#: 106416
SEATTLE, WA
Past

March 12, 1996 - September 3, 1996

INTERNATIONAL SECURITIES GROUP, INC.

BD
CRD#: 22513
SAN DIEGO, CA
Past

January 25, 1993 - March 21, 1995

MUSKET RESEARCH ASSOCIATES INC.

BD
CRD#: 30599
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/26/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 8/15/2007
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 7/30/1998
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 7/31/2018
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 9/6/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 8/31/2007
Futures Managed Funds Examination

Current Firm

SC
SMI CAPITAL MARKETS LLC
PARK BRIDGE SECURITIES LLC | SMI CAPITAL MARKETS LLC

CRD#: 156441 / SEC#: , 8-68794

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2018 156th Ave Ne Suite 100 Building F, Bellevue, WA 98007
Mailing Address
12715 Ne 36th Street, Bellevue, WA 98005
Phone number
(206) 499-0158
Established
New York since 03/09/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SMI GROUP LLCSHAREHOLDER
GARNETT, DALE ALANCCO, CFO724756
SPIVAK, KENIN MATHEWCEO6555860
SWANSON, EDWARD THOMASPRESIDENT6584165

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.

Company Information

SMI CAPITAL MARKETS LLC

CRD#: 156441

TRUST BUT VERIFY

Monitor Robert Wiley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.