HS
Halie K. Smith
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CRD#: 4676985
HS
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.
Halie Kathleen Smith, AIF®, who also goes by Halie Kathleen Schmidt, Halie Schmidt, was a registered financial professional .
Halie is a previously registered financial professional and started their career in finance in 2003. Halie had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Halie Kathleen Schmidt | Halie Schmidt
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.
1) 9/17/20 - Excell Corp - For-Profit Board Member - non-inv rel - Henderson, NE - start: 2004 2) 11/22/22 - Tabletop Takedown - Not Inv Related - At Reported Bus Loc(s) - Business Owner/Partner - Start 10/10/22 - 1 Hr a Mth/0 Hrs During Trading 3) 10/6/23 - WCG Wealth Advisors, LLC - Registered Investment Advisor Hybrid - IAR - Inv Related - At Reported Business Loc(s) - Start 7/17/23 - 30 Hrs a Mth/ During Trading - I provide investment advisory services through WCG Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 10/2023. I expect to spend approximately 30 hours per month on this activity. Please see the advisory firm's Form ADV.. 4) 10/06/2023 - The Wealth Consulting Group - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Loc(s) - Start 9/8/20 - 152 Hrs a Mth - I provide investment advisory services through WCG Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 10/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV..
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®
Experience
Past
July 14, 2023 - April 4, 2024
THE WEALTH CONSULTING GROUP
RIA
CRD#: 173194
Maize, KS
Past
September 30, 2020 - December 31, 2023
V WEALTH ADVISORS LLC
RIA
CRD#: 153278
Maize, KS
Past
September 24, 2020 - September 24, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
MAIZE, KS
Past
September 24, 2020 - April 15, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
MAIZE, KS
Past
April 8, 2016 - July 13, 2020
IMA WEALTH
RIA
CRD#: 112091
WICHITA, KS
Past
April 8, 2016 - July 13, 2020
IMA WEALTH
BD
CRD#: 112091
WICHITA, KS
Past
April 20, 2015 - December 23, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
WICHITA, KS
Past
April 8, 2015 - December 23, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
WICHITA, KS
Past
October 23, 2009 - October 29, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WICHITA, KS
Past
October 23, 2009 - October 29, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WICHITA, KS
Past
January 7, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WICHITA, KS
Past
July 17, 2003 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
WICHITA, KS
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".
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TW
THE WEALTH CONSULTING GROUP
ABOUND FINANCIAL | YERBA BUENA FINANCIAL PARTNERS | WILBORN ADVISORS | WCG WEALTH ADVISORS, LLC | WCG WEALTH ADVISORS | V WEALTH MANAGEMENT | V WEALTH | UTOR WEALTH | TRULY ALIGNED INC. | TRELOAR & HEISEL WEALTH MANAGEMENT | THE WEALTH CONSULTING GROUP | SUNDANCE INVESTMENTS LLC | STRONGHAVEN LLC | STONEBRIDGE GLOBAL INVESTMENTS | SPECTRUM WEALTH MANAGEMENT, INC. | REINERT WEALTH MANAGEMENT | REDWITZ WEALTH MANAGEMENT | RDM ASSOCIATES | PROSPERITY WEALTH PARTNERS, LLC | PAVLOVIC WEALTH MANAGEMENT | PASCHANG & ASSOCIATES | PALO VERDE WEALTH MANAGEMENT, LLC | NICHOLS WEALTH MANAGEMENT | NAVIGUIDE WEALTH PARTNERS | MTXE CAPITAL | MTXE ANALYTICS | METCALF PARTNERS WEALTH MANAGEMENT | MARKET CYCLE FINANCIAL | LUCAS WEALTH STRATEGIES | KONZA WEALTH ADVISORS | KC WEALTH ADVISOR, LLC | KAWABE & ASSOCIATES | KANSAS CITY RETIREMENT PLANNING, LLC | JHM WEALTH MANAGEMENT, INC. | INSTRUMENTAL ADVISORS | IMPACT WEALTH PARTNERS | HASKELL WEALTH MANAGEMENT | GREAT WESTERN WEALTH MANAGEMENT | GEN 4 WEALTH ADVISORS | FRANZ TATUM WEALTH MANAGEMENT | FINANCIAL YOGI | FIDES WEALTH STRATEGIES GROUP | FAMILY WEALTH MANAGEMENT GROUP | ENCORE WEALTH MANAGEMENT | EMBRACE WEALTH MANAGEMENT | EDMOND WEALTH MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT/DE MANAGEMENT | DISCIPLINED EQUITIES MANAGEMENT | DE MANAGEMENT | DAROLD MARK & ASSOCIATES | CORNERSTONE WEALTH MANAGEMENT,LLC | CORNERSTONE FINANCIAL ADVOCATES | CLARIO FINANCIAL SERVICES | CARTER FINANCIAL | BYDAND FINANCIAL, LLC | BRIGHT ADVISORS, LLC | BRIANNE FINANCIAL | BALZER INVESTMENT MANAGEMENT, LLC | BAIR FINANCIAL PLANNING | APC WEALTH MANAGEMENT, INC. | ANCHOR WEALTH MANAGEMENT GROUP, LLC | ALTENBURG ASSET ADVISORS, LLC
CRD#: 173194 / SEC#: 801-80386
RIA
Registered Investment Advisory firm - (10/1/2014 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8925 West Post Road 2nd Floor, Las Vegas, NV 89148
Mailing Address
Phone number
(702) 263-1919
Established
Firm type
Fiscal year end
# of Employees
204
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,129 |
| AUM (Assets Under Management) | $ 5,446,595,206 |
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.
