William S. 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 Spencer Smith, who also goes by Bill Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 11 firms and has passed the Series 63, SIE, Series 87, Series 7, Series 1 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
November 11, 2014 - February 21, 2017
WM SMITH ASSET MANAGEMENT
October 30, 2002 - August 23, 2012
WM SMITH & COMPANY
October 30, 2002 - November 16, 2012
WM SMITH SPECIAL OPPORTUNITIES RESEARCH CO.
February 4, 1993 - December 31, 2018
WM SMITH & CO.
July 30, 1992 - May 10, 1993
ML PETRIE PARKMAN CO., INC.
July 8, 1992 - March 6, 1993
JOHN D. MCKEOWN & CO., INC.
February 15, 1990 - July 2, 1992
ITG EXECUTION SERVICES, INC.
August 12, 1988 - August 24, 1988
DOUGLAS BREMEN & CO., INC.
August 5, 1988 - September 25, 1989
ITG EXECUTION SERVICES, INC.
January 1, 1988 - August 12, 1988
PROFESSIONAL BROKERAGE SERVICES INC.
January 29, 1981 - April 29, 1986
KNIGHT SECURITIES CORPORATION
June 15, 1976 - April 6, 1980
ENI CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/11/1976
Registered Representative ExaminationCurrent Firm
WM SMITH ASSET MANAGEMENT
CRD#: 172680 / SEC#:
Contact information
Red Flags
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