Mitchell W. Smyth
Professional summary
Mitchell Wayne Smyth, CFP®, who also goes by Mitchell Smyth, is a registered financial advisor currently at SCHWAB WEALTH ADVISORY, INC. located in Indianapolis, Indiana and CHARLES SCHWAB & CO., INC. located in Indianapolis, Indiana.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Mitchell has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Wayne Smyth's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2016 - Present
SCHWAB WEALTH ADVISORY, INC.
Office #1: 8332 Woodfield Crossing Blvd., Indianapolis, IN 46240May 9, 2016 - Present
CHARLES SCHWAB & CO., INC.
Office #1: 8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482June 30, 2014 - April 14, 2016
USAA FINANCIAL PLANNING SERVICES
June 30, 2014 - April 14, 2016
USAA FINANCIAL ADVISORS, INC.
June 6, 2013 - July 11, 2014
USAA INVESTMENT SERVICES COMPANY
June 6, 2013 - July 11, 2014
USAA INVESTMENT SERVICES COMPANY
August 23, 2010 - June 21, 2013
USAA FINANCIAL PLANNING SERVICES
August 23, 2010 - June 21, 2013
USAA FINANCIAL ADVISORS, INC.
May 8, 2006 - August 4, 2010
TRUIST INVESTMENT SERVICES, INC.
March 7, 2006 - August 4, 2010
TRUIST INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/9/2016)
(2/12/2024)
(10/2/2020)
(10/14/2020)
(4/20/2021)
(5/17/2021)
(7/21/2020)
(5/9/2016)
(8/30/2023)
(11/11/2020)
(5/9/2016)
(5/9/2016)
(5/20/2020)
(7/1/2021)
(5/9/2016)
(1/27/2021)
(2/3/2021)
(2/26/2021)
(1/12/2021)
(10/2/2020)
(2/7/2024)
(2/26/2021)
(8/13/2020)
(8/30/2023)
(11/4/2020)
(9/19/2022)
(7/21/2020)
(3/23/2021)
(1/10/2021)
(1/20/2021)
(1/11/2025)
(6/22/2023)
(7/21/2020)
(1/21/2022)
(7/6/2023)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
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.
