William S. 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 Scott Smith was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 20 firms and has passed the Series 63, Series 7, Series 1, Series 24, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 1992 - November 10, 1992
FIRST ASSET MANAGEMENT, INC.
January 2, 1990 - January 16, 1991
PAULSON INVESTMENT COMPANY LLC
March 1, 1989 - December 12, 1989
BAIRD, PATRICK & CO., INC.
February 14, 1987 - February 27, 1989
BAIRD, PATRICK & CO., INC.
February 3, 1986 - March 10, 1987
EQUITIES INTERNATIONAL SECURITIES, INC.
September 12, 1985 - January 6, 1986
CROMWELL, KNIGHT & CO., INC.
June 25, 1985 - September 18, 1985
BROOKS WEINGER ROBBINS & LEEDS INC.
May 14, 1985 - June 14, 1985
CITIWIDE SECURITIES CORP.
October 29, 1984 - May 7, 1985
NIELSON AND CLARK INC.
December 17, 1982 - August 28, 1984
BUCKINGHAM SECURITIES, LTD.
November 4, 1981 - February 17, 1982
ROSS, STEBBINS INC.
June 5, 1981 - September 25, 1981
JOHN MUIR & CO.
July 9, 1980 - May 6, 1981
CIBC WORLD MARKETS CORP.
August 9, 1979 - December 12, 1983
PRUDENTIAL EQUITY GROUP, LLC
June 7, 1978 - August 11, 1979
THOMSON MCKINNON SECURITIES INC.
February 17, 1978 - June 26, 1978
WHITE, WELD & CO. INCORPORATED
March 21, 1977 - March 25, 1978
REYNOLDS SECURITIES, INC.
June 1, 1976 - March 10, 1977
MOORE & SCHLEY, CAMERON & CO.
April 6, 1976 - June 25, 1976
SPENCER TRASK & CO. INCORPORATED
March 16, 1973 - September 5, 1975
HAYDEN STONE INC.
September 11, 1970 - March 16, 1973
HAYDEN STONE 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: 4/16/1959
Registered Representative ExaminationSeries 40
Date: 9/30/1968
Registered Principal ExaminationCurrent Firm
FIRST ASSET MANAGEMENT, INC.
CRD#: 17341 / SEC#: , 8-35154
Contact information
Documents
Red Flags
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