William Michael Smith

CRD 4093822 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Hunt Valley, MD

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 63SIESeries 7Series 6
Registered states (14): Connecticut · Delaware · Florida · Georgia · Maryland · New Hampshire · North Carolina · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Virginia · West Virginia
Years in the industry (source record): 26
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (17)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Hunt Valley, MD · IA capacity

Dec 2, 2022 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Hunt Valley, MD · BC capacity

start not retrieved → present
Fidelity Personal And Workplace Advisors
IA capacity

Jul 13, 2018 → Dec 6, 2022
Fidelity Brokerage Services LLC
BD capacity

May 24, 2018 → Dec 5, 2022
Strategic Advisers LLC
IA capacity

May 29, 2018 → Jul 13, 2018
Lpl Financial LLC
BD capacity

Feb 5, 2016 → May 18, 2018
Compton Financial Group
IA capacity

Feb 9, 2016 → May 11, 2018
Maryland Capital Management, LLC
IA capacity

Aug 15, 2014 → Feb 9, 2016
Legg Mason Investor Services, LLC
BD capacity

Apr 16, 2012 → Aug 8, 2014
Legg Mason Investment Counsel, LLC
IA capacity

Apr 16, 2012 → Aug 8, 2014
Legg Mason Capital Management, LLC
IA capacity

Dec 18, 2007 → Dec 1, 2011
Legg Mason Investor Services, LLC
BD capacity

Dec 1, 2005 → Dec 1, 2011
Clearbridge Advisors, LLC
IA capacity

Mar 17, 2006 → Dec 18, 2007
Legg Mason Wood Walker Inc
IA capacity

Feb 23, 2005 → Dec 5, 2005
Legg Mason Wood Walker, Incorporated
BD capacity

Oct 27, 2000 → Dec 1, 2005
First Union Securities, Inc.
BD capacity

Oct 1, 2000 → Oct 11, 2000
First Union Brokerage Services, Inc.
BD capacity

Feb 9, 2000 → Oct 1, 2000

Source & corrections

Where this page comes from

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