Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Charles Brooks is an active investment advisor representative with over 27 years of experience in the financial services industry. William has a strong background in providing financial advice to individuals and businesses. William has a proven track record of success in helping clients reach their financial goals. Currently, William is an investment advisor representative with Osaic Institutions, Inc. William has a strong understanding of the financial markets and is committed to providing his clients with personalized financial advice. William's areas of specialization include financial planning, pension consulting, and portfolio management. William is registered in multiple states, including Massachusetts, Colorado, Connecticut, Florida, New Jersey, Oregon, and South Carolina.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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
MA
08/15/2019 - Present
Osaic Institutions, Inc. (Mattapoisett MA)
MA
06/06/2017 - 07/29/2019
KOVACK SECURITIES INC. (Brewster MA)
MA
03/18/2011 - 06/08/2017
CAPITAL GUARDIAN, LLC (brewster MA)
MA
06/01/2009 - 03/23/2011
MORGAN STANLEY SMITH BARNEY (NORWELL MA)
MA
11/24/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (HINGHAM MA)
NY
05/18/1992 - 12/01/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 02/02/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/15/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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