William Smathers

Smathers Financial Group, Inc.

8564 East CR 466
Suite 205

The Villages, FL 32162
(352) 5613060

Our Client Goal is to, " Increase Income & Reduce Risk."

About Smathers Financial Group, Inc.

Smathers Financial Group, Inc.(SFG) is a Independent Wealth Management Company that caters to a wide range of clients that are looking for advise on their investments and estate planning.

The main office for SFG is located in The Villages in The Santa Fe Professional Building located at 8465 East CR 466, Suite 205, The Villages, FL 32162.

SFG has other offices located in Tavares, Mount Dora, and Winter Park Florida.

General Information

Firm Start Year

2000

No.of Employees

5-9

CRD#

2185120

Firm CRD#

130349

Insurance License#

A245448

States Licensed in

FL., N.C. GA., WI., IN., OH.

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

30 Years

I work with the following types of clients

Individual Investors, Investment Clubs, Businesses, Non-Profit Organizations

Services

Investment Types

Options & Futures, Stocks, Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Annuities, Insurance, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Video Conference, At your home, At my office, At your office

Compliance

Registered Investment Advisor

Yes

Registered Representative

Yes

Investment Advisor Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

Indepentant Registered Investment Advisor, Certified Retirement Financial Advisor (CRFA)

Securities Licenses

Series 65, Series 7, Series 24, Series 31, Registered Investment Advisor, Series 4, Series 63

Insurance and Annuity Licenses

Annuity, Life, Variable Annuity, Variable Life

Firm Information

Firm's Number of Clients

250+

Firm's Number of Managed Clients

200+

Assets Managed by Firm

$33,000,000

Advisor's Number of Clients

Advisor's Number of Managed Clients

Advisor's Number of Planning Clients

100

Assets Managed by Advisor

$33,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

50000

Compensation Methods

Based on Assets

Fee % Based on Assets

Time Spent

Additional Details on Charges

Negotiable, depending on subject matter, time spend, invested assets,

Minimum Fee Charged for Managed Accounts

1.25%

Minimum Fee Charged for Hourly Planning Accounts

250 per hr

Education

Political Science - Math & Statistics

Florida State University
62 - 66

Disclaimer

Smathers Financial Group, Inc. is a Registered Investment Advisor with the State of Florida. Securities offered through TD Ameritrade, Inc. Member FINRA/SIPC.

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