Role at Virtus Investment Advisers
- Title on Schedule A
- Executive Vice President
- Control
- Richard Smirl is a control person of Virtus Investment Advisers.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Richard Smirl has held the filed role since May 2021.
The firm
Form ADV filed 30 June 2026
Career on record
- Passed Series 99TO · 2023
- Passed SIE · 2018
- Passed Series 3 · 2011
- Strong Capital Management Inc– · 2 yearsMenomonee Falls, WI · Adviser representative · Firm CRD 106638
- Passed Series 7, Series 63 and Series 24 · 2000
Registrations and exams
Broker registration; no current adviser registration. Richard Smirl has passed 6 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 9 October 2000 |
| Series 24 | General Securities Principal Examination | 6 November 2000 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 3 | National Commodity Futures Examination | 4 April 2011 |
| Series 7 | General Securities Representative Examination | 2 October 2000 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Richard William Smirl
- CRD
- 4232829
- Registration status
- Broker registration; no current adviser registration
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Richard Smirl work?
Richard Smirl has been Executive Vice President of Virtus Investment Advisers, LLC since May 2021, and is a control person of the firm.
Does Richard Smirl have a current investment-adviser registration?
Richard Smirl has a current broker registration and no current investment-adviser registration, as of 17 October 2026.
What exams has Richard Smirl passed?
Richard Smirl has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 3, SIE and Series 99TO. The earliest, the Series 7, was passed in October 2000.
Where was Richard Smirl previously registered as an investment adviser?
Richard Smirl has past investment-adviser registrations through Strong Capital Management Inc, October 2001 to December 2003, across 1 firm.
Leadership at Virtus Investment Advisers
- Daphne ChisolmVice President, Senior Counsel and Assistant Secretary
- Jennifer FrommVice President, Senior Counsel and Assistant Secretary
- Andra PurkalitisExecutive Vice President, General Counsel and Secretary
- Kathryn SantoroVice President, Senior Counsel and Assistant Secretary
- James SenaChief Compliance Officer
- David HanleyTreasurer