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Detailed Report
WILLIAM JOSEPH SMITH
WILLIAM J SMITH
CRD#: 4020446
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 100 N TAMPA ST
TAMPA, FL 33602
CETERA INVESTMENT SERVICES LLCCRD#: 15340 100 N TAMPA ST
TAMPA, FL 33602
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2017 - Present (7 years)BSUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2013 - 2017 (3 years)BPRINCOR FINANCIAL SERVICES COR... (CRD# 1137)2010 - 2013 (3 years)BPARK AVENUE SECURITIES LLC (CRD# 46173)2006 - 2010 (3 years)BNYLIFE SECURITIES INC. (CRD# 5167)2000 - 2006 (6 years)IASUNTRUST ADVISORY SERVICES, INC. (CRD# 283390)2016 - 2017 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2016 - 2016 (<1 year)
Disclosure(s)
View By:
11/19/2003
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 7/28/2017
IA
Florida 9/14/2017
B
Florida 9/14/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
100 N TAMPA ST, TAMPA, FL 33602
LAND O' LAKES, FL
Registered with this firm since 9/14/2017
B
CETERA INVESTMENT SERVICES LLC (CRD#:15340)
100 N TAMPA ST, TAMPA, FL 33602
LAND O' LAKES, FL
Registered with this firm since 7/27/2017
Previous Registration(s)
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IA
 09/30/2016 - 03/22/2017 SUNTRUST ADVISORY SERVICES, INC. (CRD#:283390) TAMPA, FL
B
 10/21/2013 - 03/22/2017 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) TAMPA, FL
IA
 08/10/2016 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) TAMPA, FL
B
 04/28/2010 - 09/30/2013 PRINCOR FINANCIAL SERVICES CORPORATION (CRD#:1137) TAMPA, FL
B
 08/10/2006 - 05/06/2010 PARK AVENUE SECURITIES LLC (CRD#:46173) TAMPA, FL
B
 01/24/2000 - 08/01/2006 NYLIFE SECURITIES INC. (CRD#:5167) TAMPA, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.