William B. Hewitt
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 Brooks Hewitt, who also goes by Brooks Hewitt, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1974. William had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2007 - December 31, 2016
NATIONS FINANCIAL GROUP, INC.
October 20, 2006 - December 31, 2010
AFFILIATED UNDERWRITERS, INC.
January 3, 2003 - December 31, 2016
NATIONS FINANCIAL GROUP, INC.
May 23, 2001 - January 2, 2003
MEDALLION EQUITIES, INC.
December 10, 1996 - June 18, 2001
THE FIRST AMERICAN INVESTMENT BANKING CORPORATION
October 31, 1994 - December 23, 1996
MCC SECURITIES, INC.
March 8, 1990 - January 17, 1995
ROYAL HUTTON SECURITIES CORP.
April 1, 1987 - March 1, 1990
PW SECURITIES, INC.
July 28, 1986 - April 14, 1987
FENNER FINANCIAL, INC.
February 5, 1985 - July 24, 1986
INVESTACORP, INC.
April 1, 1974 - February 19, 1985
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/25/1974
Registered Representative ExaminationCurrent Firm
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
