William A. Smith

W.A. SMITH FINANCIAL GROUP

Sandusky, OH 44870

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CRD#: 2671372

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Smith Jr | William Allen Jr 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Allen Smith JR'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

April 22, 2008 - Present

W.A. SMITH FINANCIAL GROUP

Office #1: 4604 Timber Commons Drive, Sandusky, OH 44870

RIA

CRD#: 146608

Sandusky, OH

Past

May 22, 2006 - July 30, 2008

GREAT LAKES BENEFITS AND WEALTH MANAGEMENT

RIA

CRD#: 140440

SANDUSKY, OH

Past

January 6, 2004 - May 1, 2006

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

November 14, 2000 - January 12, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

October 30, 1995 - December 6, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Ohio
(4/22/2008)

IAR

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 12/9/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6

Date: 10/27/1995

Investment Company Products/Variable Contracts Representative Examination

Current Firm

W.A. SMITH FINANCIAL GROUP

8 ADVISOR | W.A. SMITH FINANCIAL GROUP | GREAT LAKES RETIREMENT, INC.

CRD#: 146608 / SEC#: 801-110042

RIA

Registered Investment Advisory firm - (2/27/2017 Approved)

Ohio

Registered Investment Advisory firm - (5/2/2017 Terminated)

Texas

Registered Investment Advisory firm - (3/1/2017 Terminated)

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Contact information

Main Address

4604 Timber Commons Drive, Sandusky, OH 44870

Mailing Address

Phone number

(419) 626-8600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GREAT LAKES RETIREMENT FORM ADV 2 BROCHURE JAN 2024 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,582
AUM (Assets Under Management)	$ 962,640,394

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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William A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

W.A. SMITH FINANCIAL GROUP

GREAT LAKES BENEFITS AND WEALTH MANAGEMENT

USALLIANZ SECURITIES, INC.

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

W.A. SMITH FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 12/9/1999

Series 6

Date: 10/27/1995

Current Firm

W.A. SMITH FINANCIAL GROUP

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

W.A. SMITH FINANCIAL GROUP

TRUST BUT VERIFY

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