William T. 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 Taulbee Smith, who also goes by Bill Smith, Billy Smith, William Taulbee Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1985. William had worked at 11 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2012 - October 16, 2013
OPPENHEIMER & CO. INC.
May 25, 2012 - October 16, 2013
OPPENHEIMER & CO. INC.
August 24, 2009 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 2009 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 11, 2003 - July 10, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 14, 1997 - July 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 7, 1997 - July 21, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 1993 - February 5, 1997
MORGAN STANLEY DW INC.
December 5, 1988 - October 25, 1993
RUAN SECURITIES CORPORATION
May 23, 1988 - November 12, 1988
WESTCAP SECURITIES, L.P.
February 15, 1988 - July 9, 1988
LEHMAN BROTHERS INC.
October 22, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
August 11, 1986 - September 26, 1986
TMA GOVERNMENT SECURITIES, LTD.
May 14, 1985 - November 1, 1985
FIRST INVESTMENT SECURITIES, INC.
February 15, 1985 - April 11, 1985
GREENTREE SECURITIES CORP.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
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
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
