Deborah J. Smiley
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.
Deborah J Smiley was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 2020. Deborah had worked at 1 firm .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2020 - August 1, 2025
KRILOGY
Primary Firm SEC Registration
KRILOGY
CRD#: 149046 / SEC#: 801-69838
State Registrations and Notice Filings
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Exams
Current Firm
KRILOGY
CRD#: 149046 / SEC#: 801-69838
Contact information
SEC notice filing (36 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,780 |
| AUM (Assets Under Management) | $ 4,954,332,013 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2025 | ||
| 02/27/2025 | ||
| 10/12/2023 | ||
| 01/03/2023 |
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.
