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William Michael Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2022-12-02
TX RA APPROVED 2022-12-02
  • MD RA
    APPROVED
    Since 2022-12-02
  • TX RA
    APPROVED
    Since 2022-12-02

Branch Locations

11333 Mccormick Rd, Hunt Valley, MD 21031 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Towson MD 01/2016 05/2018
Compton Financial Group, Llc Towson MD 01/2016 05/2018
Fidelity Brokerage Services Llc Towson MD 05/2018 12/2022
Fidelity Personal And Workplace Advisors Boston MA 07/2018 12/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated Hunt Valley MD 12/2022 Present
Bank Of America, N.A. Hunt Valley MD 01/2023 Present
  • 01/2016 → 05/2018
    Lpl Financial, Llc
    Towson, MD
  • 01/2016 → 05/2018
    Compton Financial Group, Llc
    Towson, MD
  • 05/2018 → 12/2022
    Fidelity Brokerage Services Llc
    Towson, MD
  • 07/2018 → 12/2022
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 12/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Hunt Valley, MD
  • 01/2023 → Present
    Bank Of America, N.A.
    Hunt Valley, MD
Previous Registrations
  • 2018-07-13 → 2022-12-06
    Fidelity Personal And Workplace Advisors
    Boston, MA
  • 2018-05-29 → 2018-07-13
    Strategic Advisers Llc
    Towson, MD
  • 2016-02-09 → 2018-05-11
    Red Oak Financial Group
    Towson, MD
  • 2014-08-15 → 2016-02-09
    Maryland Capital Management, Llc
    Towson, MD
  • 2012-04-16 → 2014-08-08
    1919 Investment Counsel, Llc
    Baltimore, MD
  • 2007-12-18 → 2011-12-01
    Clearbridge Investments
    Baltimore, MD
  • 2006-03-17 → 2007-12-18
    Clearbridge Investments, Llc
    New York, NY
  • 2005-02-23 → 2005-12-05
    Legg Mason Wood Walker, Incorporated
    Baltimore, MD
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-02-22
S63 Uniform Securities Agent State Law Examination 2000-02-11
  • S66 Uniform Combined State Law Examination
    2005-02-22
  • S63 Uniform Securities Agent State Law Examination
    2000-02-11

View on SEC IAPD

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Other Offices

BAY HARBOR WEALTH MANAGEMENT, LLC · HUNT VALLEY, MD
ABS CAPITAL PARTNERS, INC. · HUNT VALLEY, MD
GROFF WEALTH MANAGEMENT · HUNT VALLEY, MD
MONUMENTAL WEALTH, LLC · HUNT VALLEY, MD
BUSH RIVER TRUST, LLC · HUNT VALLEY, MD
OSAIC WEALTH, INC. · HUNT VALLEY, MD
INDEPENDENT FINANCIAL PARTNERS · Hunt Valley, MD
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