William M. Beasley

BHK INVESTMENT ADVISORS

Birmingham, AL 35209-8803

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CRD#: 1750089

Professional summary

William Martin Beasley, who also goes by William M Beasley Jr, William Martin Beasley Jr, William Martin Beasley Jr Jr, William M Beasley Jr. Jr, is a registered financial advisor currently at BHK INVESTMENT ADVISORS located in Birmingham, Alabama and BHK SECURITIES, LLC located in Birmingham, Alabama.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. William has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10, Series 9 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William M Beasley Jr | William Martin Beasley Jr | William Martin Beasley Jr Jr | William M Beasley Jr. Jr

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 Martin Beasley'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

July 12, 2021 - Present

BHK INVESTMENT ADVISORS

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803

RIA

CRD#: 140515

Birmingham, AL

Current

July 12, 2021 - Present

BHK SECURITIES, LLC

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209Office #2: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803

RIA

CRD#: 139665

Birmingham, AL

Current

July 6, 2021 - Present

BHK SECURITIES, LLC

Office #1: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209Office #2: 2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803

RIA

CRD#: 139665

Birmingham, AL

Past

July 6, 2021 - July 6, 2021

BHK SECURITIES, LLC

RIA

CRD#: 139665

BIRMINGHAM, AL

Past

July 6, 2021 - July 6, 2021

BHK INVESTMENT ADVISORS

RIA

CRD#: 140515

BIRMINGHAM, AL

Past

June 1, 2009 - June 30, 2021

MORGAN STANLEY

RIA

CRD#: 149777

BIRMINGHAM, AL

Past

June 1, 2009 - June 30, 2021

MORGAN STANLEY

CRD#: 149777

BIRMINGHAM, AL

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BIRMINGHAM, AL

Past

February 21, 2006 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BIRMINGHAM, AL

Past

July 28, 1997 - February 24, 2006

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

BIRMINGHAM, AL

Past

May 6, 1996 - February 24, 2006

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

BIRMINGHAM, AL

Past

March 29, 1990 - May 7, 1996

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

November 25, 1987 - March 26, 1990

FIRST BIRMINGHAM SECURITIES CORPORATION

CRD#: 4314

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".

BHK INVESTMENT ADVISORS

BHK INVESTMENT ADVISORS | BHK INVESTMENT ADVISORS, LLC

CRD#: 140515 / SEC#: 801-66669

RIA

Registered Investment Advisory firm - (5/17/2006 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(7/6/2021)

IAR

Alabama
(7/12/2021)

Florida
(9/22/2021)

Georgia
(7/6/2021)

North Carolina
(7/6/2021)

South Carolina
(7/6/2021)

Tennessee
(9/30/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/13/2000

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/21/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/28/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/28/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 4

Date: 12/19/1989

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

BHK INVESTMENT ADVISORS

BHK INVESTMENT ADVISORS | BHK INVESTMENT ADVISORS, LLC

CRD#: 140515 / SEC#: 801-66669

RIA

Registered Investment Advisory firm - (5/17/2006 Approved)

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Contact information

Main Address

2200 Lakeshore Drive Suite 250, Birmingham, AL 35209-8803

Mailing Address

Phone number

(205) 322-2025

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/24/2025)

Regulatory assets under management

Total Number of Accounts	751
AUM (Assets Under Management)	$ 755,759,558

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/31/2025	Cover Page	Report
02/27/2024	Cover Page	Report
02/27/2023	Cover Page	Report

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 M. Beasley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Martin Beasley's CRS (Customer Relationship Summary).

Certified licenses

Experience

BHK SECURITIES, LLC

BHK SECURITIES, LLC

BHK SECURITIES, LLC

BHK INVESTMENT ADVISORS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

STERNE, AGEE & LEACH, INC.

FIRST BIRMINGHAM SECURITIES CORPORATION

Primary Firm SEC Registration

BHK INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1997

Series 63

Date: 12/2/1987

SIE

Date: 10/1/2018

Series 31

Date: 12/13/2000

Series 7

Date: 11/21/1987

Series 10

Date: 12/28/1999

Series 9

Date: 12/28/1999

Series 4

Date: 12/19/1989

FINRA

Current Firm

BHK INVESTMENT ADVISORS

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BHK INVESTMENT ADVISORS

TRUST BUT VERIFY

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