William A. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Austin Smith III, who also goes by William Austin Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1984. William had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2014 - October 11, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 20, 2014 - October 11, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 22, 2012 - October 7, 2014
NATIONAL PLANNING CORPORATION
October 22, 2012 - October 7, 2014
NATIONAL PLANNING CORPORATION
November 19, 2007 - October 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
July 12, 2006 - October 25, 2012
WOODBURY FINANCIAL SERVICES, INC.
April 16, 1984 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 16, 1984 - July 20, 2006
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
