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WB

William D. Brown

Some features on this profile are disabled
CRD#: 1144559
WB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William David Brown SR, who also goes by William David Brown, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1984. William had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

William David Brown

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 14, 2025 - December 31, 2025

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
Piedmont, SC
Past

July 1, 2021 - March 28, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
Piedmont, SC
Past

January 5, 2015 - July 9, 2021

KOVACK ADVISORS, INC.

RIA
CRD#: 140808
Mauldin, SC
Past

October 15, 2014 - July 9, 2021

KOVACK SECURITIES INC.

BD
CRD#: 44848
Mauldin, SC
Past

January 8, 2008 - December 31, 2014

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA
CRD#: 143384
SIMPSONVILLE, SC
Past

March 2, 2004 - December 31, 2007

RESOURCE HORIZONS GROUP LLC

RIA
CRD#: 104368
SIMPSONVILLE, SC
Past

March 1, 2004 - October 15, 2014

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
SIMPSONVILLE, SC
Past

October 1, 2002 - December 31, 2003

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
PHOENIX, AZ
Past

December 19, 1996 - October 1, 2002

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
HOUSTON, TX
Past

November 15, 1984 - February 14, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/15/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/13/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 12/18/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)
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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

BROOKWOOD INVESTMENT GROUP

CRD#: 316544

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Contact information

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