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William S Smith

Charles Schwab & Co., Inc.

Phoenix, AZ

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2023-06-02
CA RA APPROVED 2017-09-28
  • AZ RA
    APPROVED
    Since 2023-06-02
  • CA RA
    APPROVED
    Since 2017-09-28

Branch Locations

4750 E Francisco, Phoenix, AZ 85044 • 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
Charles Schwab & Co., Inc. Phoenix AZ 02/2016 Present
Charles Schwab Bank, Ssb Phoenix AZ 07/2017 Present
Other Businesses

1) Twitch | not investment related | Phoenix, Arizona | start date 07/13/2021 | Streamer | streaming video games to an audience | various hours per month | none during securities trading hours. 2) Doordash|Investment Related:No|food delivery|food delivery|2024-07-14|HoursPerMonth:Less than 20|HoursSpentduringSecurityTrading:0|delivering food

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-09-28
S63 Uniform Securities Agent State Law Examination 2016-06-17
  • S66 Uniform Combined State Law Examination
    2017-09-28
  • S63 Uniform Securities Agent State Law Examination
    2016-06-17
Other Names
  • William Scott Smith
  • William Smith
  • Will Smith

View on SEC IAPD

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J.P. MORGAN SECURITIES LLC
WELLS FARGO CLEARING SERVICES, LLC
ROBERT W. BAIRD & CO. INCORPORATED

Other Investors

DAREN MICHAEL FRANKEBERGER
Kenneth ALEXANDER Riley
Jamie L Morton
HEATH EDWARD WHETSEL
Rizwan B Shah
JOSEPH JOHN MCNAUGHTON
Alyssa Shelton
Frank Iustin Mancuso

Other Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
UBS FINANCIAL SERVICES INC. · Phoenix, AZ
UBS FINANCIAL SERVICES INC. · PHOENIX, AZ
KESTRA ADVISORY SERVICES, LLC · PHOENIX, AZ

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