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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam E. Smith is a registered representative and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc.. William has been in the securities industry since October 20, 1997. William is registered in 54 states and the District of Columbia. William has passed the Series 7, Series 31, Series 63, Series 65, Series 9 and Series 10 exams. William also has a previous registration with MORGAN STANLEY DW INC. in Houston, Texas. William is currently affiliated with the Houston, Texas branch office of Merrill Lynch, Pierce, Fenner & Smith Inc..
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
11/17/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
10/21/1997 - 11/20/2006
MORGAN STANLEY DW INC. (HOUSTON TX)
IA
Issued 11/07/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/17/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/27/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 10/20/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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