Dean WilliamsCRD Number: 1364559
Current Firm: Smith Moore & Company
Dean Williams (CRD# 1364559) is an Investment Advisor Representative working at Smith Moore & Company in Clayton, MO and has over 32 years of experience in the finance industry.
Financial Planning Associates, Inc.
Cutter & Company, Inc.
Visionary Wealth Advisors, LLC
|Smith Moore & Co||Clayton, MO||Jun 2008 - Current||9|
|Ubs Financial Services Inc.||St. Louis, MO||Apr 2001 - Jun 2008||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1985|
|S65||NASAA Investment Advisors Law Examination||Feb 2006|
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:
- Criminal Record
Total Assets Under Management612MILLIONS
Total Number of Accounts2,178ACCOUNTS
Average Account Value$280,919
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
IL, KS, MO