SMITH WILLIAM BRUCE
Legal name: SMITH WB FINANCIAL GROUP
CRD #107543 SEC #801-33087 GRAFTON, MA 508-839-4465
SEC Registered
Total AUM
$202M
Discretionary
$27M
Employees
5
Clients
101
Accounts
287
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- Massachusetts
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 2, 2007
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SMITH, WILLIAM, BRUCE | I | OWNER, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER, CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, WILLIAM, BRUCE | I | OWNER | E | Control |
Registrations
Federal
IA
Mar 2, 2007 REGISTERED
Notice Filings (5)
FL KY MA NH TN
Address
TWO SOUTH STREETGRAFTON, MA 1519
USA
Phone: 508-839-4465