Philip M. 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.
Philip M Smith, who also goes by Phil M Smith, Philip M. Smith, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 2005. Philip had worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2010 - September 15, 2014
BNY ADVISORS
January 29, 2010 - September 15, 2014
PERSHING LLC
August 3, 2005 - May 14, 2008
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
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
Current Firm
BNY ADVISORS
CRD#: 106108 / SEC#: 801-52378
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 122,578 |
| AUM (Assets Under Management) | $ 23,959,697,127 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/28/2024 | ||
| 10/27/2023 |
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.
