Will R. 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.
Will R Smith, who also goes by Wilford Roy Smith, was a registered financial professional .
Will is a previously registered financial professional and started their career in finance in 2006. Will had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2013 - June 27, 2016
ESSEX NATIONAL SECURITIES, LLC
December 14, 2010 - December 12, 2012
COMERICA SECURITIES
July 17, 2006 - June 8, 2010
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ESSEX NATIONAL SECURITIES, LLC
CRD#: 25454 / SEC#: 801-70990, 8-41750
Contact information
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
