William David Smith

Current Employers

Employment History

• 06/2002 → 11/2018
  Sii/John Hancock Financial Services
  Raleigh, NC
• 11/2018 → Present
  Osaic Wealth, Inc.
  Raleigh, NC

Previous Registrations

• 2006-06-29 → 2018-11-02
  Signator Investors, Inc.
  Raleigh, NC
  Raleigh, NC

Other Businesses

1. CAPITOL FINANCIAL SOLUTIONS POSITION: Advanced Planning Advisor NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 40 START DATE: 08/26/2002 ADDRESS: 8816 Six Forks Rd. #301, Raleigh NC 27615, United States DESCRIPTION: I advise my clients in the accumulation and protection of wealth. 2. WAKE TECHNICAL COMMUNITY COLLEGE POSITION: Investment Committee Chairman NATURE: Community College in for the county (Wake) in which I reside in NC. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2021 ADDRESS: 9101 Fayetteville Rd., Raleigh NC 27603, United States DESCRIPTION: My involvement will simply be to attend board meetings, have communication with the portfolio management team at Trust to ensure the foundation funds remain in alignment with the investment proposal statement, relay the board's intentions and upcoming goals, and look to be a resource for the college as it considers ideas for growth and empowering the local community. 3. WILLIAM D. SMITH POSITION: Insurance Agent / Producer NATURE: Insurance Brokerage INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/26/2002 ADDRESS: 8816 Six Forks Rd #301, Raleigh NC 27615, United States DESCRIPTION: we use a brokerage agency to find insurance solutions for our clients 4. 720 FAIRWAY DR - RENTAL PROPERTY POSITION: Landlord NATURE: Rental property in Southern Pines, NC INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2026 ADDRESS: 720 Fairway Dr, Southern Pines NC 28387, United States DESCRIPTION: renting a property 5. WILL SMITH FINANCIAL, LLC POSITION: Owner NATURE: LLC for my Financial Services practice INVESTMENT RELATED: Yes NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 02/27/2026 ADDRESS: 8816 Six Forks Rd #301, Raleigh NC 27615, United States DESCRIPTION: Continue to run my practice as-is with the LLC, but with a S-Corp election at tax time instead of Sole Proprietor. I will pay myself a reasonable salary and have distributions throughout the year. I'm working closely with a CPA to ensure that everything is organized according to state tax laws. 6. HHW VENTURES, LLC POSITION: President NATURE: Authoring a book INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 06/29/2026 ADDRESS: 217 Georgetown Rd, Raleigh NC 27608, United States DESCRIPTION: I am the author of Elite Advisor Operating Systems, an 11 chapter book on becoming an even better Financial Advisor.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-01
• S63 Uniform Securities Agent State Law Examination
  2003-12-30