William C. Smith

AE WEALTH MANAGEMENT

Madison, MS 39046

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CRD#: 2108204

Professional summary

William Clark Smith, who also goes by Clark Smith, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Madison, Mississippi.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. William has worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Clark 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.

Golden Years Financial; Yes, Investment Related; 1300 Hwy 51, Madison, MS 39110; Insurance Sales; POSITION Managing Partner; Start Date 02/2025; Approx. 20 hours a month; Approx. 10 hours during trading; Insurance Sales and Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Clark Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 19, 2025 - Present

AE WEALTH MANAGEMENT, LLC

Office #1: 1300 Hwy 51, Madison, MS 39046

RIA

CRD#: 282580

Madison, MS

Past

May 19, 2020 - November 8, 2024

FINANCIAL & TAX ARCHITECTS, LLC

RIA

CRD#: 119169

ST. LOUIS, MO

Past

August 15, 2006 - November 4, 2015

ELEMENT WEALTH, LLC

RIA

CRD#: 114968

RIDGELAND, MS

Past

June 30, 2000 - July 24, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

JACKSON, MS

Past

June 30, 2000 - July 24, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

JACKSON, MS

Past

May 31, 1995 - June 30, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

January 1, 1991 - May 31, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 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.

Highlighted states indicate IAR registrations

IAR

Mississippi
(2/19/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/24/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/21/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/1/1991

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/20/1990

General Securities Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

William C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Clark Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

FINANCIAL & TAX ARCHITECTS, LLC

ELEMENT WEALTH, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/24/2020

Series 63

Date: 2/21/1991

Series 3

Date: 2/1/1991

Series 7

Date: 12/20/1990

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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