Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Alexander Scroggins is a financial professional with over 40 years of experience. He is a Certified Financial Planner and a registered representative with Dempsey Lord Smith, LLC. William has a strong background in financial planning, and specializes in helping individuals and families with their investment and retirement planning needs. He is also a registered investment advisor representative and holds the Series 66, Series 7TO, and SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
AL
09/14/2023 - Present
Dempsey Lord Smith, LLC (ANNISTON AL)
BOTH
Issued 09/13/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/2023
Series 7TO - General Securities Representative Examination
BC
Issued 11/15/2022
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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