Wylie R. 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.
Wylie R Smithwick was a registered financial professional .
Wylie is a previously registered financial professional and started their career in finance in 2009. Wylie had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 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
November 7, 2017 - April 10, 2018
PERSONAL CAPITAL ADVISORS CORPORATION
October 1, 2012 - November 15, 2017
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 15, 2017
J.P. MORGAN SECURITIES LLC
February 3, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 25, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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
PERSONAL CAPITAL ADVISORS CORPORATION
CRD#: 155172 / SEC#: 801-72613
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 104,861 |
| AUM (Assets Under Management) | $ 23,087,723,467 |
Red Flags
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