WS
Wendi K. Svitak
LEELYN SMITH
Geneva, IL 60134
Some features on this profile are disabled
CRD#: 6604185
WS
Professional summary
Wendi K Svitak, who also goes by Wendi Kathleen Steinhagen, is a registered financial advisor currently at LEELYN SMITH, LLC located in Geneva, Illinois and LPL FINANCIAL LLC located in Geneva, Illinois.
Wendi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Wendi has worked at 2 firms and has passed the Series 66, SIE and Series 7TO exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Wendi Kathleen Steinhagen
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 08/21/2019 - The Retirement Network, Ltd - Investment Related - 0 Hrs/Mth - 0 Hrs During Trading. 2)09/03/2019 - The Retirement Network Ltd - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date: 11/29/2017 - 20 Hrs/Mth - 20 Hrs During Trading.I provide administrative support to The Retirement Network Ltd, an independent investment advisor firm. I started this business activity in 11/2017. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at�http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 3/12/2020 - Leelyn Smith - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 2/4/2020 - 0 Hrs/Mth - 0 Hrs During Trading. 4. 9/9/2020 - Leelyn Smith, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin. - Started 08/2020 - 20 Hours Per Month During Securities Trading - I provide administrative support to Leelyn Smith LLC, an independent investment advisor firm. I started this business activity in 08/2020. I expect to spend approximately 20 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 05/22/2023 - Emergent Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2023 - 0 Hrs/Mth - 0 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Wendi K Svitak's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 5, 2021 - Present
LEELYN SMITH, LLC
Office #1: 10 N. Third Street, Geneva, IL 60134RIA
CRD#: 110517
Geneva, IL
Current
September 20, 2019 - Present
LPL FINANCIAL LLC
Office #1: 10 N. Third Street, Geneva, IL 60134RIA
BD
CRD#: 6413
Geneva, IL
Past
November 11, 2019 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(11/11/2019)
IAR
Illinois(4/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2019
General Securities Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
LS
LEELYN SMITH, LLC
EMERGENT PARTNERS | THE RETIREMENT NETWORK, LTD. | THE RETIREMENT NETWORK | LEELYN SMITH, LLC
CRD#: 110517 / SEC#: 801-113460
RIA
Registered Investment Advisory firm - (6/14/2018 Approved)Illinois
Registered Investment Advisory firm - (6/19/2018 Terminated)Texas
Registered Investment Advisory firm - (12/31/2002 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
10 N. Third Street, Geneva, IL 60134
Mailing Address
Phone number
(630) 232-8995
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,539 |
| AUM (Assets Under Management) | $ 722,181,779 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
