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Detailed Report
MITCHELL WAYNE SMYTH
MITCHELL SMYTH
CRD#: 5072956
IA
Investment Adviser
B
Broker
SCHWAB WEALTH ADVISORY, INC.CRD#: 159035 8332 Woodfield Crossing Blvd.
Indianapolis, IN 46240-2482
CHARLES SCHWAB & CO., INC.CRD#: 5393 8332 Woodfield Crossing Blvd
Indianapolis, IN 46240-2482
Registration History
200620082010201220142016201820202022202420262 FIRMS2006 - 2010 (4 years)2 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2014 - 2016 (1 year)2 FIRMS2016 - Present (8 years)
License(s)

State Registrations

B
Alabama 5/9/2016
B
Minnesota 1/12/2021
B
Arizona 2/12/2024
B
Nebraska 10/2/2020
B
California 10/2/2020
B
New Jersey 2/7/2024
B
Colorado 10/14/2020
B
New York 2/26/2021
B
Connecticut 4/20/2021
B
North Carolina 8/13/2020
B
Delaware 5/17/2021
B
Ohio 8/30/2023
B
Florida 7/21/2020
B
Pennsylvania 11/4/2020
B
Georgia 5/9/2016
B
Rhode Island 9/19/2022
B
Hawaii 8/30/2023
B
South Carolina 7/21/2020
B
Illinois 11/11/2020
B
Tennessee 3/23/2021
B
Indiana 5/9/2016
IA
Texas 1/10/2021
IA
Indiana 5/9/2016
B
Texas 1/20/2021
B
Iowa 5/20/2020
B
Utah 1/11/2025
B
Kentucky 7/1/2021
B
Vermont 6/22/2023
B
Louisiana 5/9/2016
B
Virginia 7/21/2020
B
Maryland 1/27/2021
B
Washington 1/21/2022
B
Massachusetts 2/3/2021
B
Wisconsin 7/6/2023
B
Michigan 2/26/2021

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
SCHWAB WEALTH ADVISORY, INC. (CRD#:159035)
8332 Woodfield Crossing Blvd., Indianapolis, IN 46240-2482
Registered with this firm since 5/9/2016
B
CHARLES SCHWAB & CO., INC. (CRD#:5393)
8332 Woodfield Crossing Blvd, Indianapolis, IN 46240-2482
Registered with this firm since 5/9/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/30/2014 - 04/14/2016 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) SAN ANTONIO, TX
B
 06/30/2014 - 04/14/2016 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) SAN ANTONIO, TX
IA
 06/06/2013 - 07/11/2014 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
B
 06/06/2013 - 07/11/2014 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
IA
 08/23/2010 - 06/21/2013 USAA FINANCIAL PLANNING SERVICES (CRD#:106352) SAN ANTONIO, TX
B
 08/23/2010 - 06/21/2013 USAA FINANCIAL ADVISORS, INC. (CRD#:129035) SAN ANTONIO, TX
IA
 05/08/2006 - 08/04/2010 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ATLANTA, GA
B
 03/07/2006 - 08/04/2010 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) ATLANTA, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.