William Smith has previously passed the Series 63 and Series 65 examinations, and is registered to provide investment advice in New York. Their current role is with Blaine Capital. William Smith has been working for 19 year (s). If you lost money on investments with William Smith and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us. William Smith is on the team of advisors at Blaine Capital in New York, NY. has recovered more than $300 million on behalf of victimized investors. Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf. This means that unless we recover money for you, we charge no attorney’s fee. Further, we handle our cases on a contingency fee basis. There is no charge for an evaluation of your case. BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints. and/or Ameriprise Financial Services, Inc. BrokerCheck tells you instantly whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds and more), offer investment advice or both. If you lost money on investments with William Smith and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against UBS Financial Services, Inc. This is because UBS Financial Services, Inc. and/or Ameriprise Financial Services, Inc. If you lost any money on investments with William Smith, you may be able to recover your losses from UBS Financial Services, Inc. These complaints and/or arbitration claims both settled, with the largest settling for $247,500. FINRA reports that two complaints and/or arbitration claims were filed involving William Smith’s conduct with UBS Financial Services, Inc., alleging unsuitable recommendations, unsuitable purchase, and/or misrepresentation. William Smith was previously licensed with UBS Financial Services, Inc. William Smith has been licensed with Ameriprise Financial Services, Inc. (William Smith) Formerly Licensed with UBS Financial Services, Inc. Goodman & Nekvasil P.A., May Recover Investor Losses – William Ware Smith Jr.
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