William A. Smith
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 Awalt Smith was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1967. William had worked at 8 firms and has passed the Series 63, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 1992 - November 25, 1992
TRINITY AFFILIATES SECURITIES CORPORATION
July 22, 1992 - October 6, 1992
WELLINGTON ASHFORD CAPITAL, INC.
July 25, 1991 - September 26, 1991
TEXAS AMERICAN SECURITIES CORPORATION
July 31, 1990 - March 20, 1991
TRADEPORTAL SECURITIES, INC.
January 5, 1988 - September 19, 1989
MACOIL FINANCIAL GROUP, INC.
October 5, 1979 - November 30, 1987
USLIFE EQUITY SALES CORP.
November 29, 1973 - March 17, 1979
LINCOLN EQUITIES CORPORATION
December 15, 1967 - May 30, 1974
CONSOLIDATED PROGRAMS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 11/24/1967
Registered Representative ExaminationCurrent Firm
TRINITY AFFILIATES SECURITIES CORPORATION
CRD#: 28460 / SEC#: , 8-43760
Contact information
Documents
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.
