William Smith, financial advisor Branford CT
93 score

William Smith

CRD Number: 4492206
Current Firm: Raymond James Financial Services Advisors, Inc.

William Smith (CRD# 4492206) is an Investment Advisor Representative working at Raymond James Financial Services Advisors, Inc. in Branford, CT and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Smith And Elis LLC Branford, CT Jan 2015 - Current 2
Raymond James Financial Services, Inc. Branford, CT Nov 2014 - Current 3
Raymond James Financial Services Advisors Inc. Branford, CT Nov 2014 - Current 3
Thimble Islands Ferry Company LLC Branford, CT Jan 2012 - Current 5
Wells Fargo Advisors LLC Farmington, CT May 2009 - Nov 2014 5
Wachovia Securities, LLC Farmington, CT Jan 2008 - May 2009 1
A.g. Edwards Farmington, CT Jan 2007 - Jan 2008 1
Various Insurance Carriers Branford, CT Apr 2002 - Jan 2007 4
Waddell & Reed, Inc. Waterford, CT Jan 2002 - Jan 2007 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 2002
S65 NASAA Investment Advisors Law Examination Feb 2002
Contact Info for William E. Smith
Phone Number: 727-567-1000
Registered State(s):
  • CT
  • TX
By the Numbers
  • Total Assets Under Management
    64,210
    MILLIONS
  • Total Number of Accounts
    224,839
    ACCOUNTS
  • Average Account Value
    $285,581
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • 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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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