Phillip Smiley has been Chief Compliance Officer of Burkett Financial Services since January 2001, is a control person of the firm and directly owns between 25% and 50% of it.
Burkett Financial Services, LLC is a Rock Hill, SC firm with $573M under management, 476 clients and 5 advisers across 2 offices, as of its February 2026 filing.
- – present · 19 yearsRock Hill, SC · Adviser representative · Firm CRD 140168
Investment adviser representative registrations
Phillip Smiley is registered as an investment adviser representative in South Carolina, since February 2007.
- South CarolinaSince 23 February 2007
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 8 September 2003 |
| Series 66 | Uniform Combined State Law Examination | 17 March 2000 |
| Series 7 | General Securities Representative Examination | 1 March 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Phillip Kevin Smiley
- CRD
- 4120309
- Firm
- Burkett Financial Services · CRD 140168
- Role
- Chief Compliance Officer
- Office
- 128 EAST MAIN STREET, SUITE 101, Rock Hill, SC 29730
- Registration
- Investment adviser registration
- In the industry since
- March 2000
- Disciplinary history
- Not yet shown here · SEC record
Where does Phillip Smiley work?
Phillip Smiley has been Chief Compliance Officer of Burkett Financial Services, LLC since January 2001, and is a control person of the firm.
Is Phillip Smiley a financial advisor?
Yes. Phillip Smiley has a current investment-adviser registration in South Carolina, through Burkett Financial Services since February 2007.
How many years of experience does Phillip Smiley have?
Phillip Smiley has 26 years in the financial industry, since March 2000, across 1 adviser firm.
What exams has Phillip Smiley passed?
Phillip Smiley has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in March 2000. FINRA credited Phillip Smiley with the SIE, which began in October 2018.
Where is Phillip Smiley based?
Phillip Smiley’s registered office is in Rock Hill, SC.
Is Phillip Smiley registered with FINRA?
No. Phillip Smiley has no current broker registration.
How can I verify Phillip Smiley’s record?
Search CRD 4120309 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Phillip Smiley’s full registration record.
- Donald BurkettMember
- Ronald BurkettMember