William H. Smathers
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 Howell Smathers was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1991. William had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2013 - August 29, 2018
NEXT FINANCIAL GROUP, INC.
September 10, 2013 - August 29, 2018
NEXT FINANCIAL GROUP, INC.
March 27, 2009 - September 16, 2013
CAPITAL GUARDIAN, LLC
October 31, 2005 - March 12, 2009
OSAIC SERVICES, INC.
February 13, 2004 - December 31, 2022
SMATHERS FINANCIAL GROUP, INC.
November 23, 2001 - October 31, 2005
SUNAMERICA SECURITIES, INC.
December 20, 1991 - November 30, 2001
MORGAN STANLEY DW INC.
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
