Lathrop W. 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.
Lathrop Winchester Smith III, who also goes by Smith Winchester Lathrop III, was a registered financial professional .
Lathrop is a previously registered financial professional and started their career in finance in 2005. Lathrop had worked at 2 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - September 13, 2019
ML&R WEALTH MANAGEMENT LLC
July 20, 2005 - November 19, 2010
WESTLAKE SECURITIES
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
Series 62
Date: 7/18/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
ML&R WEALTH MANAGEMENT LLC
CRD#: 109359 / SEC#: 801-57128
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,375 |
| AUM (Assets Under Management) | $ 1,789,873,134 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2023 | ||
| 07/28/2022 | ||
| 01/14/2022 |
Red Flags
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