William Heath Hawk
Professional Summary
William Heath Hawk is a registered financial advisor currently at FSAM LLC located in Alpharetta, Georgia and FIRST SOUTHERN, LLC located in Alpharetta, Georgia. William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. William has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 50, Series 7, Series 4, Series 53, Series...
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
This advisor has not added any videos or posts yet.
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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 are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC
Contact Information
Main Address
1720 Windward Concourse Suite 115, Alpharetta, GA 30005Phone Number
(770) 777-9373# of Employees
14SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
158AUM (Assets Under Management)
$138,395,189Similar 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.
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Primary Firm SEC Registration
FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(2/10/2020)
(4/8/2020)
(4/1/2026)
(1/26/2017)
(7/10/2017)
(3/9/2021)
(4/8/2020)
(7/12/2023)
(1/20/2017)
(11/7/2023)
(1/14/2020)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Jun 2017About the Series 50 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Nov 2005About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view William Heath Hawk's CRS (Customer Relationship Summary).
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