William B. 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 Bradford Smith III, who also goes by William Bradford Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2008. William had worked at 2 firms and has passed the SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 4, 2012 - June 26, 2015
MCP SECURITIES, LLC
April 2, 2008 - November 16, 2009
KROLL SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
MCP SECURITIES, LLC
CRD#: 152669 / SEC#: , 8-68473
Contact information
FINRA licenses (41 States and Territories)
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.
