William SmithCRD Number: 1407320
Current Firm: Wunderlich Securities, Inc.
William Smith (CRD# 1407320) is an Investment Advisor Representative working at Wunderlich Securities, Inc. in Signal Mountain, TN and has over 31 years of experience in the finance industry.
Brooks, Moore & Associates, Inc.
|Wunderlich Securities, Inc.||Memphis, TN||Apr 2015 - Current||2|
|Farmer's Foods, Inc.||Chase City, VA||Aug 2009 - Current||8|
|Raymond James & Assoc., Inc.||Chattanooga, TN||Sep 2004 - Apr 2015||10|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1986|
|S65||NASAA Investment Advisors Law Examination||Jun 2005|
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:
- Customer Dispute
- Criminal Record
Total Assets Under Management1,489MILLIONS
Total Number of Accounts4,309ACCOUNTS
Average Account Value$345,582
- 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)
- Educational seminars/workshops
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, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV