William SmithCRD Number: 2971948
Current Firm: Wells Fargo Clearing Services, LLC
William Smith (CRD# 2971948) is an Investment Advisor Representative working at Wells Fargo Clearing Services, LLC in Richmond, VA and has over 24 years of experience in the finance industry.
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Frontier Financial Partners, LLC
Davenport & Company LLC
|Wells Fargo Clearing Services, LLC||Richmond, VA||Nov 2016 - Current||5|
|Wells Fargo Advisors, LLC||Richmond, VA||Feb 2013 - Nov 2016||3|
|Suntrust Investment Services, Inc.||Atlanta, GA||Jan 2006 - Feb 2013||7|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1998|
|S65||NASAA Investment Advisors Law Examination||Jan 1998|
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.Get Details on the FINRA Advisor Check site
Total Assets Under Management647,796MILLIONS
Total Number of Accounts1,477,661ACCOUNTS
Average Account Value$438,393
- 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
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, 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, WY
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