WS
William H. Smith
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CRD#: 2463303
WS
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 Hazen Smith JR was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 10, 2018 - January 20, 2022
BOLDIN ADVISORS
RIA
CRD#: 294881
MILL VALLEY, CA
Past
November 23, 2001 - July 26, 2002
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
Past
October 10, 1996 - December 16, 1999
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
May 29, 1996 - August 30, 1996
COWEN PRIME SERVICES TRADING LLC
BD
CRD#: 23857
NEW YORK, NY
Past
December 9, 1994 - March 6, 1996
RODMAN & RENSHAW INC.
BD
CRD#: 724
CHICAGO, IL
Past
June 1, 1994 - September 12, 1994
DAKIN SECURITIES CORPORATION
BD
CRD#: 6142
SAN FRANCISCO, CA
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".
BA
BOLDIN ADVISORS
BOLDIN ADVISORS | NEWRETIREMENT ADVISORS, LLC | NEWRETIREMENT ADVISORS
CRD#: 294881 / SEC#: 801-132987
RIA
Registered Investment Advisory firm - (6/12/2025 Approved)Arizona
Registered Investment Advisory firm - (7/10/2025 Terminated)California
Registered Investment Advisory firm - (8/9/2025 Terminated)Colorado
Registered Investment Advisory firm - (7/10/2025 Terminated)Florida
Registered Investment Advisory firm - (7/10/2025 Terminated)Illinois
Registered Investment Advisory firm - (7/10/2025 Terminated)Louisiana
Registered Investment Advisory firm - (7/10/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/10/2025 Terminated)Minnesota
Registered Investment Advisory firm - (7/10/2025 Terminated)Nebraska
Registered Investment Advisory firm - (7/10/2025 Terminated)New York
Registered Investment Advisory firm - (7/10/2025 Terminated)North Carolina
Registered Investment Advisory firm - (7/16/2025 Terminated)Ohio
Registered Investment Advisory firm - (7/10/2025 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/11/2025 Terminated)Texas
Registered Investment Advisory firm - (7/10/2025 Terminated)Vermont
Registered Investment Advisory firm - (7/10/2025 Terminated)Virginia
Registered Investment Advisory firm - (7/12/2025 Terminated)Wisconsin
Registered Investment Advisory firm - (7/10/2025 Terminated)Wyoming
Registered Investment Advisory firm - (7/10/2025 Termination Requested)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
BA
BOLDIN ADVISORS
BOLDIN ADVISORS | NEWRETIREMENT ADVISORS, LLC | NEWRETIREMENT ADVISORS
CRD#: 294881 / SEC#: 801-132987
RIA
Registered Investment Advisory firm - (6/12/2025 Approved)Arizona
Registered Investment Advisory firm - (7/10/2025 Terminated)California
Registered Investment Advisory firm - (8/9/2025 Terminated)Colorado
Registered Investment Advisory firm - (7/10/2025 Terminated)Florida
Registered Investment Advisory firm - (7/10/2025 Terminated)Illinois
Registered Investment Advisory firm - (7/10/2025 Terminated)Louisiana
Registered Investment Advisory firm - (7/10/2025 Terminated)Massachusetts
Registered Investment Advisory firm - (7/10/2025 Terminated)Minnesota
Registered Investment Advisory firm - (7/10/2025 Terminated)Nebraska
Registered Investment Advisory firm - (7/10/2025 Terminated)New York
Registered Investment Advisory firm - (7/10/2025 Terminated)North Carolina
Registered Investment Advisory firm - (7/16/2025 Terminated)Ohio
Registered Investment Advisory firm - (7/10/2025 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/11/2025 Terminated)Texas
Registered Investment Advisory firm - (7/10/2025 Terminated)Vermont
Registered Investment Advisory firm - (7/10/2025 Terminated)Virginia
Registered Investment Advisory firm - (7/12/2025 Terminated)Wisconsin
Registered Investment Advisory firm - (7/10/2025 Terminated)Wyoming
Registered Investment Advisory firm - (7/10/2025 Termination Requested)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1 Belvedere Place Suite 200, Mill Valley, CA 94941
Mailing Address
Phone number
(415) 462-5665
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (38 States and Territories)
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.
