WH
William H. Hawk
FSAM LLC
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 2494928
WH
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 10, Series 9 and Series 24 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.
1) Phorcys Capital Partners; Investment related; 1720 Windward Concourse, Ste. 115, Alpharetta, GA 30005; Registered Investment Advisor; Partner; Dec. 2014; 3 hours per month; 0 hours per month during trading; Investment advice, research. 2) Phorcys Opportunities I LLC; Investment related; 1720 Windward Concourse, Ste. 115, Alpharetta, GA 30005; Private fund; Partner; Dec. 2014; 15-20 hours per month; 5 hours per month during trading; Record keeping, deal with third parties. 3) FSPR LLC; Investment related - consults to a RIA; GAM Tower, 2 Tabonuco Street, Suite 200, GUAYNABO, PR; Consulting, research, advice; Partner; 8/8/2014; 10 hours per month; 5 hours per month during trading; Networking, research, and consultative advice. 4) Heehaw Inc.; Not investment related; GAM Tower, 2 Tabonuco Street, Suite 200, GUAYNABO, PR; Owner of a consulting firm; Partner; 2015; 2 hours per month; 0 hours per month during trading; Record keeping. 5) PESH, LLC, GAM Tower, 2 Tabonuco Street, Suite 200, GUAYNABO, PR, Private Securities Transaction, Nature of business: Asset Manager over property, Title: Manager, Started June 20, 2017, Devote about 1 hrs/month during securities trading hours, Asset Manager. 6) Phorcys Real Estate Capital Partners. GAM Tower, 2 Tabonuco Street, Suite 200, GUAYNABO, PR, Management company of Phorcys Real Estate Fund. 7) Phorcys Investment Advisors, LLC; Investment related; GAM Tower, 2 Tabonuco Street, Suite 200 GUAYNABO, PR; Registered Investment Advisor; Partner; Dec. 2019; 3 hours per month; 0 hours per month during trading; Investment advice, research. 8) PRCE, GAM Tower, 2 Tabonuco Street, Suite 200, GUAYNABO, PR; Investment Related, Manager started 11/2020, 5 hours per month; 0 hours per month during trading. 9) First Southern Securities, Non-Investment related, GAM Tower, 2 Tabonuco Street, Suite 200, Guaynabo, PR, Partner, Record keeping/Payroll started 1/29/2010, 0 hours/month. 10) R2D2 LLC, Investment related, GAM Tower, 2 Tabonuco Street, Suite 200, Guaynabo, PR, Single Asset Real Estate LLC, Member, 0 hours/month, Asset Oversight. 11) San Juan Wave, LLC, Investment related, GAM Tower, 2 Tabonuco Street, Suite 200, Guaynabo, PR, Single Asset Real Estate LLC, Member, 0 hours/month, Silent Partner. 12) Condado Caribe, LLC, Investment related, GAM Tower, 2 Tabonuco Street, Suite 200, Guaynabo, PR, Single Asset Real Estate LLC, Member, 0 hours/month, Silent Partner.
CRS (Client Relationship Summary) - RIA
Click below to view William Heath Hawk's 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®
NoneExperience
Current
July 10, 2017 - Present
FSAM LLC
Office #1: 1720 Windward Concourse Suite 115, Alpharetta, GA 30005RIA
CRD#: 287851
Alpharetta, GA
Current
December 22, 2016 - Present
FIRST SOUTHERN, LLC
Office #1: 1720 Windward Concourse, Suite 115, Alpharetta, GA 30005Office #2: Gam Tower 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968Office #3: 2 Tabonuco Street, Suite 200, Guaynabo, PR 00968-1772BD
CRD#: 282756
Alpharetta, GA
Past
August 30, 2010 - October 5, 2020
FIRST SOUTHERN SECURITIES, LLC.
BD
CRD#: 153133
ALPHARETTA, GA
Past
February 8, 2010 - March 3, 2010
1792 SECURITIES, LLC
BD
CRD#: 146048
NORCROSS, GA
Past
May 26, 2009 - September 3, 2014
PHORCYS CAPITAL PARTNERS, LLC
RIA
CRD#: 149157
ALPHARETTA, GA
Past
January 5, 2006 - May 22, 2009
SCOTT & STRINGFELLOW, LLC
BD
CRD#: 6255
ALPHARETTA, GA
Past
September 18, 2002 - January 12, 2006
BERGEN CAPITAL, INC.
BD
CRD#: 46348
HASBROUCK HEIGHTS, NJ
Past
March 20, 1998 - September 18, 2002
TEJAS SECURITIES GROUP, INC.
BD
CRD#: 36705
AUSTIN, TX
Past
December 18, 1997 - March 23, 1998
FIRST MONTAUK SECURITIES CORP.
BD
CRD#: 13755
RED BANK, NJ
Past
January 28, 1997 - January 9, 1998
MARION BASS SECURITIES CORPORATION
BD
CRD#: 7961
CHARLOTTE, NC
Past
September 1, 1994 - January 29, 1997
HOWE, SOLOMON & HALL, INC.
BD
CRD#: 13386
MIAMI, FL
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".
FL
FSAM LLC
FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC
CRD#: 287851 / SEC#: 801-122054
RIA
Registered Investment Advisory firm - (8/12/2021 Approved)Georgia
Registered Investment Advisory firm - (4/18/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (3/30/2022 Terminated)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.RR
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
RR
Alabama(2/10/2020)
RR
Arizona(4/8/2020)
RR
California(4/8/2020)
RR
Colorado(4/9/2020)
RR
Florida(4/8/2020)
RR
Georgia(1/26/2017)
IAR
Georgia(7/10/2017)
RR
Missouri(3/9/2021)
RR
New Jersey(4/8/2020)
RR
New York(7/12/2023)
RR
North Carolina(6/17/2020)
RR
Ohio(1/5/2021)
RR
Puerto Rico(1/20/2017)
IAR
Puerto Rico(11/7/2023)
RR
South Carolina(9/19/2019)
RR
Texas(1/14/2020)
RR
Utah(8/27/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FL
FSAM LLC
FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC
CRD#: 287851 / SEC#: 801-122054
RIA
Registered Investment Advisory firm - (8/12/2021 Approved)Georgia
Registered Investment Advisory firm - (4/18/2022 Terminated)Puerto Rico
Registered Investment Advisory firm - (3/30/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1720 Windward Concourse Suite 115, Alpharetta, GA 30005
Mailing Address
Phone number
(770) 777-9373
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 165 |
| AUM (Assets Under Management) | $ 112,853,411 |
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.
