Chelsea E. 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.
Chelsea E Smith was a registered financial professional .
Chelsea is a previously registered financial professional and started their career in finance in 2015. Chelsea had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2017 - May 2, 2017
EMPIRICAL WEALTH MANAGEMENT
January 19, 2017 - May 2, 2017
DIRECTIONAL FINANCIAL SERVICES
October 23, 2015 - January 10, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2015 - January 10, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
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
EMPIRICAL WEALTH MANAGEMENT
CRD#: 152622 / SEC#: 801-72168
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,402 |
| AUM (Assets Under Management) | $ 6,701,226,120 |
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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