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.
CRD# 1613589
Lpl Financial LLC
Score
103
CRD# 2726777
Springboard Asset Management LLC
Score
103
CRD# 5580878
Sagepoint Financial, Inc.
Score
103
| 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 | 2 |
| Raymond James Financial Services Advisors Inc. | Branford, CT | Nov 2014 - Current | 2 |
| 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 |
- CT
- TX
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Total Assets Under Management64,210MILLIONS
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Total Number of Accounts224,839ACCOUNTS
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Average Account Value$285,581
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Commissions
- Other
- 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
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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