WS
Willis Smith
TLG ADVISORS
Raleigh, NC 27609
Some features on this profile are disabled
CRD#: 1311768
WS
Professional summary
Willis Smith II, who also goes by Willis Smith, is a registered financial advisor currently at TLG ADVISORS, INC. located in Raleigh, North Carolina and THE LEADERS GROUP, INC. located in Summit, New Jersey.
Willis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Willis has worked at 6 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Willis Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.) GLENWOOD CAPITAL LLC - 1/19/2012 - 3901 Barret Drive, Suite 311, Raleigh, NC 27609 - Producer, Insurance sales & servicing, Invt Rel, Insurance business, 100 hrs/mo; 100 hrs/mo (during trading hours). 2.) HBS Properties III LLC - 11/13/2019 - 3901 Barrett Drive, Suite 311, Raleigh, NC 27609 - Minority Owner and Manager, Real Estate Development, Passive Investor, not inv't rel, 8 hrs/mo; 6 hrs/mo (during trading hours). 3.) TLG ADVISORS INC - 6/8/2022 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours)
CRS (Client Relationship Summary) - RIA
Click below to view Willis Smith II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 8, 2022 - Present
TLG ADVISORS, INC.
Office #1: 3901 Barret Drive, Suite 311, Raleigh, NC 27609RIA
CRD#: 111052
Raleigh, NC
Current
June 8, 2022 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
October 9, 2013 - May 19, 2022
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
CHARLOTTE, NC
Past
April 8, 2013 - May 19, 2022
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
CHARLOTTE, NC
Past
March 21, 2005 - December 31, 2012
1ST BRIDGEHOUSE SECURITIES, LLC
BD
CRD#: 44655
MIAMI, FL
Past
June 1, 1999 - January 10, 2005
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Past
March 19, 1985 - June 1, 1999
TRIDENT SECURITIES, INC.
BD
CRD#: 8728
RALEIGH, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
Registered Investment Advisory firm - (8/6/2001 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
North Carolina(6/8/2022)
IAR
North Carolina(6/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TLG ADVISORS, INC.
ABUNDANT WEALTH MANAGEMENT | XCEPTION ADVISORY GROUP | WILLIAM STAPLES INS & FINANCIAL SVCS INC | WEALTH STRATEGIES GROUP | WEALTH ADVANTAGE GROUP | TLG ADVISORS, INC. | THE WADSWORTH GROUP | STRATEGIC PLANNING GROUP PLLC | STARLIGHT PORTFOLIOS | SENIOR FINANCIAL PLANNING LLC | RIVERTREE FINANCIAL PLANNING LLC | RESOURCE INSURANCE & FINANCIAL GROUP | RAABE & ASSOCIATES | PASSERELLE ADVISORS | PACIFIC PEAK ADVISORS | PACIFIC CAPITAL STRATEGIES, INC. | MILESTONE FINANCIAL SOLUTIONS | MACK FINANCIAL GROUP, INC | INSLEY INVESTMENT GROUP LLC | INSLEY INVESTMENT GROUP | HN WEALTH MANAGEMENT | HANSON WEALTH MANAGEMENT | GIDEON STRATEGIC PARTNERS, | GERRARD ADVISORS LLC | GARLIKOV ADVISORS INC | CLARITY FINANCIAL | CANTILEVER WEALTH MANAGEMENT LLC | ASSET MANAGEMENT GROUP
CRD#: 111052 / SEC#: 801-60458
RIA
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Contact information
Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
Phone number
(888) 371-0013
Established
Firm type
Fiscal year end
# of Employees
280
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,331 |
| AUM (Assets Under Management) | $ 1,948,103,893 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TLG ADVISORS, INC.
CRD#: 111052Raleigh, NC 27609TRUST BUT VERIFY
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