William C. Smith

GUARANTY PRIVATE WEALTH

RIDGELAND, MS 39157

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CRD#: 4865759

Professional summary

William Clayton Smith, who also goes by William C Smith, is a registered financial advisor currently at GUARANTY PRIVATE WEALTH located in Ridgeland, Mississippi.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. William has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William C 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.

Volunteer softball Coach. William Clayton Smith is SVP-Managing Director of Guaranty Private Wealth/Guaranty Financial Services. Guaranty Wealth Advisory is the dba for Guaranty Investment Corp. This entity has two divisions, Guaranty Private Wealth (RIA) and Guaranty Financial Services (offers broker dealer services). Clayton does not offer advice or products through the Financial Services Division but receives compensation in his role as program manager. Clayton spends approximately 40 hours a month or 10 hours a week in his role with Guaranty Financial Services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Clayton Smith'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®

None

Experience

Current

April 8, 2020 - Present

GUARANTY PRIVATE WEALTH

Office #1: 405 W Parkway Pl, Ridgeland, MS 39157

RIA

CRD#: 306385

RIDGELAND, MS

Past

April 5, 2019 - April 8, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

GREENVILLE, MS

Past

April 1, 2019 - April 4, 2019

LPL FINANCIAL LLC

RIA

CRD#: 6413

GREENVILLE, MS

Past

April 1, 2019 - April 8, 2020

LPL FINANCIAL LLC

CRD#: 6413

GREENVILLE, MS

Past

May 9, 2016 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 7691

RIDGELAND, MS

Past

November 19, 2004 - December 20, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

JACKSON, MS

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

Arkansas
(5/8/2023)

IAR

Louisiana
(11/1/2023)

IAR

Mississippi
(4/8/2020)

IAR

Tennessee
(6/29/2020)

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 65

Date: 5/3/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/23/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/2004

General Securities Representative Examination

Current Firm

GUARANTY PRIVATE WEALTH

GUARANTY INVESTMENT CORP. DBA GUARANTY WEALTH ADVISORY IS THE SOLE MEMBER OF GUARANTY PRIVATE WEALTH LLC | GUARANTY PRIVATE WEALTH, LLC | GUARANTY PRIVATE WEALTH

CRD#: 306385 / SEC#:

Arkansas

Registered Investment Advisory firm - (5/8/2023 Approved)

Louisiana

Registered Investment Advisory firm - (11/1/2023 Approved)

Mississippi

Registered Investment Advisory firm - (11/14/2019 Approved)

Tennessee

Registered Investment Advisory firm - (6/29/2020 Approved)

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Contact information

Main Address

405 W Parkway Pl, Ridgeland, MS 39157

Mailing Address

Phone number

(601) 605-7070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 72,738,491

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

William C. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

CENTERPOINT ADVANTAGE, LLC

VALMARK SECURITIES, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/2005

Series 63

Date: 11/23/2004

SIE

Date: 10/1/2018

Series 7

Date: 11/18/2004

Current Firm

GUARANTY PRIVATE WEALTH

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

GUARANTY PRIVATE WEALTH

TRUST BUT VERIFY

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