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William A. Smith
W.A. SMITH FINANCIAL GROUP
Sandusky, OH 44870
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CRD#: 2671372
WS
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.
1.) PRESIDENT/OWNER OF W.A. SMITH FINANCIAL, LLC (D/B/A W.A. SMITH FINANCIAL GROUP), A SANDUSKY, OH BASED NON-INVESTMENT RELATED EMPLOYEE BENEFITS BUSINESS FORMED IN 2011, WHICH PROVIDES GROUP HEALTH AND OTHER EMPLOYEE BENEFITS, FIXED ANNUITIES, NON-VARIABLE LIFE, AND LONG TERM CARE INSURANCE. THE BUSINESS REPRESENTS APPROXIMATELY 75% OF HIS TIME DURING NORMAL BUSINESS HOURS.
2.) OWNER OF SOLA MARKETING, INC., A SANDUSKY, OH BASED NON-INVESTMENT RELATED MARKETING BUSINESS FORMED IN 2014, WHICH PROVIDES MARKETING AND CONSULTING SERVICES TO FINANCIAL FIRMS AND INDIVIDUALS. THE BUSINESS REPRESENTS APPROXIMATELY 5-10 HOURS PER MONTH OF HIS TIME DURING AND OUTSIDE OF NORMAL BUSINESS HOURS.
3.) CO-OWNER OF BEST PRACTICES - LEADING BY EXAMPLE, LLC, A SANDUSKY, OH NON-INVESTMENT RELATED CONSULTING BUSINESS FORMED IN 2014, WHICH PROVIDES CONSULTING SERVICES TO FINANCIAL FIRMS AND INDIVIDUALS. THE BUSINESS REPRESENTS APPROXIMATELY 10-20 HOURS PER MONTH OF HIS TIME DURING AND OUTSIDE OF NORMAL BUSINESS HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view William Allen Smith JR's 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®
NoneExperience
Current
April 22, 2008 - Present
W.A. SMITH FINANCIAL GROUP
Office #1: 4604 Timber Commons Drive, Sandusky, OH 44870RIA
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.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
November 14, 2000 - January 12, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 30, 1995 - December 6, 2000
PRUCO SECURITIES, LLC.
BD
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".
WS
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)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)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
WS
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)Upgrade to AdvisorCheck Premium
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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
25
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,582 |
| AUM (Assets Under Management) | $ 962,640,394 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
