Unclaimed
William Pleasant Smith is a financial professional with over 30 years of experience in the industry. William is currently registered with Northwestern Mutual Investment Services, LLC and has a Series 6 license and holds a Series 63. William is also registered in Arizona, Louisiana, North Carolina, and Texas. William has previously held positions with ROBERT W. BAIRD & CO. INCORPORATED.
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.
Investment research; referrals to other advisers
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.
Referral fees
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2
TX
05/22/1987 - Present
Northwestern Mutual Investment Services, LLC (Frisco TX)
WI
01/12/1998 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
04/23/1990 - 12/31/1990
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
BC
Issued 07/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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