Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Brooks is a financial advisor at Synovus Securities, Inc. based in Alpharetta, Georgia. William has been in the securities industry since 2008 and currently holds FINRA Series 63, 66, 24, 53, and 28 licenses. William also has a Series 31 license for Futures Managed Funds and has passed the Securities Industry Essentials (SIE) Exam. Prior to joining Synovus Securities, Inc., William was employed at Triad Advisors LLC, Watchdog Capital, LLC, and SunTrust Investment Services, Inc.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Tax related services, administrative services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
GA
10/28/2019 - Present
Synovus Securities, Inc. (ALPHARETTA GA)
GA
07/14/2017 - 10/02/2018
TRIAD ADVISORS LLC (NORCROSS GA)
GA
06/27/2016 - 03/31/2017
WATCHDOG CAPITAL, LLC (ALPHARETTA GA)
GA
12/20/2005 - 11/18/2014
SUNTRUST INVESTMENT SERVICES, INC. (ATLANTA GA)
BOTH
Issued 08/02/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2021
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 06/19/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/16/2006
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2007
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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