Willard D. Smith

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CRD#: 3089313

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.

Willard Daniel Smith JR was a registered financial professional .

Willard is a previously registered financial professional and started their career in finance in 1998. Willard had worked at 5 firms and has passed the Series 66, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

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®

None

Experience

Past

July 9, 2014 - December 31, 2019

FORVIS MAZARS WEALTH ADVISORS, LLC

RIA

CRD#: 110905

Oakbrook Terrace, IL

Past

May 14, 2009 - July 17, 2012

AGH WEALTH ADVISORS, LLC

RIA

CRD#: 146796

WICHITA, KS

Past

January 5, 2009 - July 26, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

WICHITA, KS

Past

June 11, 2008 - July 26, 2012

LPL FINANCIAL LLC

CRD#: 6413

WICHITA, KS

Past

July 12, 2005 - June 16, 2008

MML INVESTORS SERVICES, LLC

CRD#: 10409

WICHITA, KS

Past

September 15, 1998 - March 16, 2004

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

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".

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 Approved)

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.

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: 1/2/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/31/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/19/2011

General Securities Principal Examination

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

CRD#: 110905 / SEC#: 801-56928

RIA

Registered Investment Advisory firm - (10/28/1999 Approved)

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Contact information

Main Address

910 East St Louis St, Springfield, MO 65806

Mailing Address

Phone number

(417) 831-7283

Established

Firm type

Fiscal year end

# of Employees

123

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A 082025 (8/20/2025)

Regulatory assets under management

Total Number of Accounts	13,227
AUM (Assets Under Management)	$ 9,751,986,659

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/18/2025	Cover Page	Report
09/18/2024	Cover Page	Report
01/23/2024	Cover Page	Report
11/21/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Willard D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AGH WEALTH ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MML INVESTORS SERVICES, LLC

SECURITY DISTRIBUTORS

Primary Firm SEC Registration

FORVIS MAZARS WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/2/2009

Series 7

Date: 12/31/2007

Series 6

Date: 9/14/1998

Series 24

Date: 4/19/2011

Current Firm

FORVIS MAZARS WEALTH ADVISORS, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FORVIS MAZARS WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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