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William Smith
25 Years of Experience
Tampa, FL
1 DisclosureBroker
William Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Tampa, FL, with 25 years of industry experience. William operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
100 N Tampa St, Tampa, FL, 33602
Get directionsHistory
Regulatory History (1)
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Customer Dispute
November 2003Denied
Other Business Activities
William works as a Wealth Advisor at Regions Bank, focusing on customer service related to deposit accounts, loans, and credit card applications. This activity is not securities related.
Employment History
Current Registrations
Cetera Investment Advisers LLC
September 2017 - Present · 8 yrs 8 mos
Cetera Investment Services LLC
July 2017 - Present · 8 yrs 10 mos
Cetera Investment Services LLCBroker
July 2017 - Present · 8 yrs 10 mos
Previous Registrations
Suntrust Advisory Services, INC.
September 2016 - March 2017 · 6 mos
Suntrust Investment Services, INC.
August 2016 - December 2016 · 4 mos
Suntrust Investment Services, INC.Broker
October 2013 - March 2017 · 3 yrs 5 mos
Princor Financial Services CorporationBroker
April 2010 - September 2013 · 3 yrs 5 mos
Park Avenue Securities LLCBroker
August 2006 - May 2010 · 3 yrs 9 mos
Nylife Securities INC.Broker
January 2000 - August 2006 · 6 yrs 7 mos
State Registrations2 states
ALFL
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.