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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 York Smith is an investment advisor representative with over 40 years of experience in the financial services industry. William has a deep understanding of the markets and a commitment to helping clients achieve their financial goals. William is currently registered with Morgan Stanley, where William provides a wide range of financial services, including investment advice, financial planning, and portfolio management. William holds the Series 3, 7, 8, 9, 10, 15, 63, and 65 licenses and is a Certified Financial Planner. William has a strong track record of success and is dedicated to providing his clients with the highest level of service.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/21/2021 - Present
Morgan Stanley (San Diego CA)
CA
07/01/2003 - 05/26/2021
WELLS FARGO CLEARING SERVICES, LLC (SAN DIEGO CA)
NY
11/23/1983 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
04/03/1981 - 12/16/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
11/25/1980 - 05/01/1981
UNIVERSITY SECURITIES CORPORATION
IA
Issued 12/21/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/28/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/06/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 03/28/1990
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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