William H. Roach

GLOBALT INVESTMENTS

Atlanta, GA 30339

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CRD#: 1422946

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view William Henry Roach JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 20, 2023 - Present

GLOBALT INVESTMENTS

Office #1: 3200 Windy Hill Road, Se Suite 1550e, Atlanta, GA 30339

RIA

CRD#: 328039

Atlanta, GA

Past

August 14, 2013 - December 11, 2023

GLOBALT INVESTMENTS

RIA

CRD#: 168405

ATLANTA, GA

Past

November 22, 2006 - May 30, 2007

SYNOVUS INVESTMENT ADVISORS, INC.

RIA

CRD#: 127762

COLUMBUS, GA

Past

March 28, 2003 - August 6, 2013

GLOBALT INC

RIA

CRD#: 106430

ATLANTA, GA

Past

October 22, 1985 - January 15, 1988

GOLDMAN SACHS & CO. LLC

CRD#: 361

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".

GLOBALT INVESTMENTS

GLOBALT INVESTMENTS | GLOBALT INVESTMENTS LLC

CRD#: 328039 / SEC#: 801-129022

RIA

Registered Investment Advisory firm - (11/6/2023 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Georgia
(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

State Security Law Exam

Series 63

Date: 12/6/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 1/6/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 15

Date: 12/20/1985

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 12/4/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Current Firm

GLOBALT INVESTMENTS

GLOBALT INVESTMENTS | GLOBALT INVESTMENTS LLC

CRD#: 328039 / SEC#: 801-129022

RIA

Registered Investment Advisory firm - (11/6/2023 Approved)

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Contact information

Main Address

3200 Windy Hill Road, Se Suite 1550e, Atlanta, GA 30339

Mailing Address

Phone number

(404) 364-2188

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - 2025.07.01 (11/6/2025)

Regulatory assets under management

Total Number of Accounts	3,521
AUM (Assets Under Management)	$ 2,809,985,493

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.

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William H. Roach

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Henry Roach JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBALT INVESTMENTS

SYNOVUS INVESTMENT ADVISORS, INC.

GLOBALT INC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

GLOBALT INVESTMENTS

State Registrations and Notice Filings

Exams

Series 63

Date: 12/6/1985

Series 3

Date: 1/6/1986

Series 15

Date: 12/20/1985

Series 5

Date: 12/4/1985

Series 7

Date: 10/19/1985

Current Firm

GLOBALT INVESTMENTS

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GLOBALT INVESTMENTS

TRUST BUT VERIFY

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