Mitchell SmithCRD Number: 5932923
Current Firm: Rbc Capital Markets, LLC
Mitchell Smith (CRD# 5932923) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Seattle, WA and has over 4 years of experience in the finance industry.
Brighton Jones LLC
|Rbc Capital Markets LLC||Seattle, WA||Jan 2016 - Current||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Bellevue, WA||May 2011 - Jan 2016||4|
|Unemployed||Redmond, WA||Mar 2010 - May 2011||1|
|Chempoint||Bellevue, WA||Sep 2009 - Mar 2010||< 1|
|Unemployed||Redmond, WA||Jun 2009 - Sep 2009||< 1|
|Four Park Avenue||Seattle, WA||Oct 2008 - Jun 2009||< 1|
|Bellevue College||Bellevue, WA||May 2008 - Oct 2008||< 1|
|Starbucks Coffe Co||Bellevue, WA||Aug 2006 - May 2008||1|
|Newport High School||Bellevue, WA||Sep 2003 - Aug 2006||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Apr 2013|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management76,274MILLIONS
Total Number of Accounts192,243ACCOUNTS
Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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