Michael J. Smithwick
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.
Michael John Smithwick was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2011. Michael had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2021 - July 21, 2023
MEYER CAPITAL GROUP
March 17, 2015 - July 27, 2021
MEYER CAPITAL GROUP
December 5, 2011 - January 31, 2014
ETHICAL ADVISORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MEYER CAPITAL GROUP
CRD#: 105897 / SEC#: 801-34212
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,306 |
| AUM (Assets Under Management) | $ 1,484,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/30/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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