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Joseph Scott Smithwick

Broadlake Financial Management

South Burlington, VT

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Current Employers
Broadlake Financial Management

99 Swift Street Suite 305, South Burlington, VT 05403-7360 • United States

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2006-11-07
  • VT RA
    APPROVED
    Since 2006-11-07

Branch Locations

99 Swift Street Suite 305, South Burlington, VT 05403-7360 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Eley Financial Management, Inc. Burlington VT 06/2004 Present
  • 06/2004 → Present
    Eley Financial Management, Inc.
    Burlington, VT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-11
  • S65 Uniform Investment Adviser Law Examination
    2006-09-11

View on SEC IAPD

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