Phillip K. Smiley

BURKETT FINANCIAL SERVICES

Rock Hill, SC 29730

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CRD#: 4120309

Professional summary

Phillip Kevin Smiley, CFP® is a registered financial advisor currently at BURKETT FINANCIAL SERVICES, LLC located in Rock Hill, South Carolina.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Phillip has worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Phillip K. Smiley is a partner in the Real Estate company Prorentals, LLC; He entered into the partnership on 1/1/2020; Address: 3101 Sunset Blvd., West Columbia, SC, 29169; Company owns business property that they lease out; He spends less than 1 hour per month on this activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Kevin Smiley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

February 23, 2007 - Present

BURKETT FINANCIAL SERVICES, LLC

Office #1: 128 East Main Street Suite 101, Rock Hill, SC 29730

RIA

CRD#: 140168

Rock Hill, SC

Past

July 12, 2001 - December 31, 2016

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

ROCK HILL, SC

Past

July 24, 2000 - July 24, 2001

TOWNSEND FINANCIAL SERVICES CORP.

CRD#: 24684

RALEIGH, NC

Past

March 2, 2000 - July 25, 2000

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BURKETT FINANCIAL SERVICES, LLC

CRD#: 140168 / SEC#: 801-67535

RIA

Registered Investment Advisory firm - (1/29/2007 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(2/23/2007)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/17/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/1/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/8/2003

General Securities Principal Examination

Current Firm

BURKETT FINANCIAL SERVICES, LLC

CRD#: 140168 / SEC#: 801-67535

RIA

Registered Investment Advisory firm - (1/29/2007 Approved)

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Contact information

Main Address

128 East Main Street Suite 101, Rock Hill, SC 29730

Mailing Address

Phone number

(803) 980-3232

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BURKETT FINANCIAL SERVICES COMPLETE BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	1,579
AUM (Assets Under Management)	$ 490,786,468

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.

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Phillip K. Smiley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Kevin Smiley's CRS (Customer Relationship Summary).

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

TOWNSEND FINANCIAL SERVICES CORP.

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

BURKETT FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2000

SIE

Date: 12/31/2016

Series 7

Date: 3/1/2000

Series 24

Date: 9/8/2003

Current Firm

BURKETT FINANCIAL SERVICES, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BURKETT FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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