William H. 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 Henry Smith, who also goes by Bill Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2009 - October 2, 2014
NATIONWIDE INVESTMENT ADVISORS, LLC
April 2, 2009 - October 2, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 6, 2008 - November 7, 2008
USAA FINANCIAL PLANNING SERVICES
July 14, 2008 - November 7, 2008
USAA FINANCIAL ADVISORS, INC.
July 6, 2007 - December 21, 2007
CUSO FINANCIAL SERVICES, L.P.
January 16, 2007 - July 26, 2007
VALIC FINANCIAL ADVISORS, INC.
December 19, 2006 - July 26, 2007
VALIC FINANCIAL ADVISORS, INC.
June 1, 2005 - January 8, 2007
EQUITABLE ADVISORS, LLC
June 1, 2005 - January 8, 2007
EQUITABLE ADVISORS, LLC
January 31, 2002 - June 1, 2005
MONY SECURITIES CORPORATION
November 8, 2001 - June 1, 2005
MONY SECURITIES CORPORATION
March 12, 1993 - November 2, 2001
FIRST COMMAND BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
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
NATIONWIDE INVESTMENT ADVISORS, LLC
CRD#: 142373 / SEC#: 801-52664
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 270,365 |
| AUM (Assets Under Management) | $ 15,686,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 01/26/2024 | ||
| 10/26/2022 |
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.
