WS
William V. Smith
TRICAPITAL WEALTH MANAGEMENT
Charlotte, NC 28210
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CRD#: 7750406
WS
Professional summary
William Vance Smith, who also goes by Will Smith, is a registered financial advisor currently at TRICAPITAL WEALTH MANAGEMENT, INC. located in Charlotte, North Carolina and OSAIC WEALTH, INC. located in Charlotte, North Carolina.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. William has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Will 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.
1)TriCapital Wealth Management;investment related;6115 Park South Drive,Ste 330,Charlotte,NC 28210;s-corp;registered admin;3/19/2024;160 hrs/month;130 hrs during trading;re-balancing clients portfolio models,executing trades,market research,as well as providing all other relevant financial & administrative support 2)Willcar,LLC;not investment related;4814 Rockview Court,Charlotte,NC 28226;partnership;accountant;7/2017;5 hrs/month;0 hrs during trading;bookkeeping for investment accounts 3)Z.V Smith & Co;not investment related;6115 Park South Drive,Suite 330,Charlotte,NC 28210;s-corp;accountant;7/2017;20 hrs/month;5 hrs during trading;bookkeeping,tax return prep
CRS (Client Relationship Summary) - RIA
Click below to view William Vance 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®
NoneExperience
Current
April 12, 2024 - Present
TRICAPITAL WEALTH MANAGEMENT, INC.
Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210RIA
CRD#: 118788
Charlotte, NC
Current
August 23, 2024 - Present
OSAIC WEALTH, INC.
Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210RIA
BD
CRD#: 23131
Charlotte, NC
Past
April 10, 2024 - August 23, 2024
TRIAD ADVISORS LLC
BD
CRD#: 25803
Charlotte, NC
Past
January 8, 2024 - February 22, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Huntersville, NC
Past
December 12, 2023 - February 22, 2024
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
Huntersville, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TW
TRICAPITAL WEALTH MANAGEMENT, INC.
TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.
CRD#: 118788 / SEC#: 801-123572
RIA
Registered Investment Advisory firm - (3/31/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - (4/8/2022 Terminated)Texas
Registered Investment Advisory firm - (12/31/2016 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
North Carolina(4/12/2024)
RR
North Carolina(8/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/8/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TW
TRICAPITAL WEALTH MANAGEMENT, INC.
TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.
CRD#: 118788 / SEC#: 801-123572
RIA
Registered Investment Advisory firm - (3/31/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/11/2022 Terminated)South Carolina
Registered Investment Advisory firm - (4/8/2022 Terminated)Texas
Registered Investment Advisory firm - (12/31/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210
Mailing Address
Phone number
(704) 571-8778
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 178 |
| AUM (Assets Under Management) | $ 118,748,487 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
