Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Gregory Smith is a financial professional with over 25 years of experience in the industry. William is currently registered with Southeast Investments, N.c., Inc. William has held previous registrations with INTERCAROLINA FINANCIAL SERVICES, INC., LEGACY FINANCIAL SERVICES, INC., NATHAN & LEWIS SECURITIES, INC., AIG EQUITY SALES CORP. and HORNOR, TOWNSEND & KENT, INC. William has passed the Series 6, Series 62, Series 63 and SIE exams. William holds licenses in Maryland and North Carolina. William is specializing in providing investment advice and portfolio management to businesses and individuals. William is also able to assist with financial planning services and selection of other advisors.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Offer products as a b/d on a commission basis
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2
NC
07/11/2002 - Present
Southeast Investments, N.c., Inc. (ASHEBORO NC)
NC
03/12/1999 - 07/11/2002
INTERCAROLINA FINANCIAL SERVICES, INC. (GREENSBORO NC)
CA
02/25/1998 - 03/17/1999
LEGACY FINANCIAL SERVICES, INC. (PETALUMA CA)
NY
11/30/1995 - 12/31/1997
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
02/01/1995 - 10/23/1995
AIG EQUITY SALES CORP. (NEW YORK NY)
PA
01/06/1994 - 12/13/1994
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
BC
Issued 12/08/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2008
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 01/05/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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