William Smith is a CFA-designated registered investment advisor, based in Allentown, PA, with 28 years of industry experience.
Location
4600 Broadway, Allentown, PA, 18104
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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William is the Chair of the Pension Committee for East Goshen Township since 2018, dedicating minimal time. This unpaid position involves overseeing the Township's Pension Plans.
Employment History
Current Registrations
Girard Investment Services, LLCBroker
August 2024 - Present · 1 yr 8 mos
Girard Pension Services, LLC
April 2024 - Present · 2 yrs
Previous Registrations
Foreside Funds Distributors LLCBroker
March 2019 - September 2023 · 4 yrs 6 mos
Dupont Capital Management Marketing CorporationBroker
January 2015 - March 2019 · 4 yrs 2 mos
Vanguard Marketing CorporationBroker
August 1997 - December 2014 · 17 yrs 4 mos
State Registrations1 state
PA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.