William Allen Smith Jr
Professional Summary
William Allen Smith JR, who also goes by Bill Smith Jr, William Allen Jr Smith, is a registered financial advisor currently at W.A. SMITH FINANCIAL GROUP located in Sandusky, Ohio. William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. William has worked at 5 firms and has passed the Series 66 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bill Smith Jr, William Allen Jr Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.
Contact Information
Main Address
4604 Timber Commons Drive, Sandusky, OH 44870Phone Number
(419) 626-8600# of Employees
27SEC notice filing (9 States and Territories)
Registered to provide investment advisory services in 9 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
7,044AUM (Assets Under Management)
$1,163,783,212Similar Advisors
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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.
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Primary Firm SEC Registration
8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.
State Registrations and Notice Filings
(4/22/2008)
(10/3/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1995About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view William Allen Smith JR's CRS (Customer Relationship Summary).
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