Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Joseph Smart is an active investment advisor registered with both the Securities and Exchange Commission (SEC) and several states. William has been in the financial services industry since 1989, and is currently employed by RBC Capital Markets, LLC. Prior to joining RBC Capital Markets, William was employed by Morgan Stanley and Citigroup Global Markets Inc. William holds a wide variety of licenses including Series 3, 7, 31 and 63, and specializes in various investment services including financial planning, pension consulting, and portfolio management for individuals, businesses, and pooled investment vehicles. William's firm, RBC Capital Markets, LLC, is a large investment advisory firm with over $50 billion in assets under management.
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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MD
03/06/2023 - Present
RBC Capital Markets, LLC (CHEVY CHASE MD)
MD
06/01/2009 - 06/30/2017
MORGAN STANLEY (BETHESDA MD)
MD
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BETHESDA MD)
NY
08/22/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 11/15/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/08/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/25/1990
Series 3 - National Commodity Futures Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure William Smart is the right advisor for you? Invested Better is here to help.
