William Henry Roach Jr
Professional Summary
William Henry Roach JR is a registered financial advisor currently at GLOBALT INVESTMENTS located in Atlanta, Georgia. William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. William has worked at 5 firms and has passed the Series 63, Series 3, Series 15, Series 5 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
41 years in the financial services industry
Current & Past Employments
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Current Firm
GLOBALT INVESTMENTS | GLOBALT INVESTMENTS LLC
Contact Information
Main Address
3200 Windy Hill Road, Se Suite 1550e, Atlanta, GA 30339Phone Number
(404) 364-2188# of Employees
18SEC notice filing (25 States and Territories)
Registered to provide investment advisory services in 25 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,248AUM (Assets Under Management)
$3,021,798,165Similar Advisors
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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.
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Primary Firm SEC Registration
GLOBALT INVESTMENTS | GLOBALT INVESTMENTS LLC
State Registrations and Notice Filings
(11/20/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Dec 1985Series 5 — Interest Rate Options Examination
Passed Dec 1985Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view William Henry Roach JR's CRS (Customer Relationship Summary).
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