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William Smith
26 Years of Experience
Tampa, FL
1 DisclosureBroker
William Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Tampa, FL, with 26 years of industry experience. William is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10471 advisors
IM Fee
Planning only
Assets Under Management
$256.8B
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Location
100 N Tampa St, Tampa, FL, 33602
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
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 · 9 yrs 1 mo
Cetera Investment Services LLC
July 2017 - Present · 9 yrs 3 mos
Cetera Investment Services LLCBroker
July 2017 - Present · 9 yrs 3 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.
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