William Smith, financial advisor Birmingham AL
73 score

William Smith

CRD Number: 3134227
Current Firm: Triumph Wealth Advisors, Inc.

William Smith (CRD# 3134227) is an Investment Advisor Representative working at Triumph Wealth Advisors, Inc. in Birmingham, AL and has over 17 years of experience in the finance industry.

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Company Name Location Dates Years
Tcm Securities, Inc. Woodstock, GA May 2014 - Current 2
Bill Smith Wealth Management, LLC Vestavia Hills, Mar 2011 - Current 5
Renaissance Development, LLC Birmingham, AL Jan 2006 - Current 10
Planmember Securities Corporation Carpinteria, CA Jan 2011 - May 2014 3
Valic Investment Services Company Birmingham, AL Dec 1998 - Jan 2011 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1999
S65 NASAA Investment Advisors Law Examination Mar 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for William E. Smith
Phone Number: 770-924-9322
Registered State(s):
  • AL
By the Numbers
  • Total Assets Under Management
    3
    MILLIONS
  • Total Number of Accounts
    127
    ACCOUNTS
  • Average Account Value
    $26,861
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, AZ, CA, CO, FL, GA, IN, KS, MA, MD, ME, MO, MS, MT, NC, NE, NH, NJ, OH, PA, SC, TN, TX, VA

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BADGES
73

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