Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Michael Smith is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc. William has been working in the financial services industry for over 20 years and has experience with a variety of firms including Legg Mason Investor Services, LLC, Fidelity Brokerage Services LLC, LPL Financial LLC, and First Union Securities, Inc. William has a wide range of industry experience and holds multiple licenses and certifications, including Series 6, 7, 63, and 66. In addition to providing financial advice, William is also an Investment Advisor Representative for Merrill Lynch.
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
MD
12/02/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HUNT VALLEY MD)
MD
05/24/2018 - 12/05/2022
FIDELITY BROKERAGE SERVICES LLC (TOWSON MD)
MD
02/05/2016 - 05/18/2018
LPL FINANCIAL LLC (TOWSON MD)
MD
04/16/2012 - 08/08/2014
LEGG MASON INVESTOR SERVICES, LLC (BALTIMORE MD)
MD
12/01/2005 - 12/01/2011
LEGG MASON INVESTOR SERVICES, LLC (BALTIMORE MD)
MD
10/27/2000 - 12/01/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
MO
10/01/2000 - 10/11/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
02/09/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 02/22/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2001
Series 7 - General Securities Representative Examination
BC
Issued 02/08/2000
Series 6 - Investment Company Products/Variable Contracts 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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