William Smith, financial advisor DuBois PA
61 score

William Smith

CRD Number: 1937892
Current Firm: H. Beck, Inc.

William Smith (CRD# 1937892) is an Investment Advisor Representative working at H. Beck, Inc. in DuBois, PA and has over 27 years of experience in the finance industry.

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Company Name Location Dates Years
H. Beck, Inc. Rockville, MD Feb 2007 - Current 9
S + S Student Housing, LLC Dubois, PA Apr 2003 - Dec 2008 5
Delta Equity Services Corporation Bolton, MA Sep 2004 - Dec 2006 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1989
S65 NASAA Investment Advisors Law Examination Jan 2003
Disclosure Information

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:
  • Judgments / Liens
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for William D. Smith
Phone Number: 301-468-0100
Firm Website: https://www.hbeckinc.com
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    1,825
    MILLIONS
  • Total Number of Accounts
    10,457
    ACCOUNTS
  • Average Account Value
    $174,531
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
61

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