William 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.
William Richard Smith III, who also goes by Dick Smith III, Dick Smith, William Richard Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2006 - March 31, 2015
CAPGROUP ADVISORS
December 15, 2005 - January 11, 2006
WESTPORT FINANCIAL SERVICES, L.L.C.
February 29, 2000 - January 6, 2004
CAPRIN ASSET MANAGEMENT, LLC
September 27, 1999 - December 18, 2003
CAPGROUP SECURITIES, L.L.C.
April 20, 1993 - March 5, 1999
BCG INVESTMENT RESOURCES, INC.
March 27, 1990 - April 4, 2006
CAPITAL ADVISORY GROUP
January 22, 1988 - December 31, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 1, 1987 - January 26, 1988
KEOGLER, MORGAN & COMPANY, INC.
February 18, 1987 - May 4, 1987
FIRST VIRGINIA FINANCIAL CORPORATION
April 1, 1986 - December 23, 1986
BRANCH, CABELL & CO., INC.
July 5, 1984 - April 24, 1986
JOHN HANCOCK DISTRIBUTORS LLC
September 1, 1983 - December 31, 1991
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 13, 1981 - August 26, 1983
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPGROUP ADVISORS
CRD#: 139874 / SEC#: 801-66418
Contact information
Red Flags
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