William W. Smith
Professional summary
William Warren Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, William had worked at 5 firms, which includes AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC, AMSOUTH INVESTMENT SERVICES INC., INVEST FINANCIAL CORPORATION, SECURIAN FINANCIAL SERVICES INC., SHOEMAKER SECURITIES COMPANY INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2003 - January 20, 2005
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
March 3, 2003 - September 23, 2003
AMSOUTH INVESTMENT SERVICES, INC.
February 14, 2000 - December 17, 2004
AMSOUTH INVESTMENT SERVICES, INC.
January 8, 1998 - February 14, 2000
INVEST FINANCIAL CORPORATION
June 22, 1989 - January 13, 1998
SECURIAN FINANCIAL SERVICES, INC.
May 23, 1989 - June 28, 1989
SHOEMAKER SECURITIES COMPANY, INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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