WS
William F. Snider
BROADOAK ASSET MANAGEMENT
Bethesda, MD 20814
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CRD#: 2553714
WS
Professional summary
William Franklin Snider JR is a registered financial advisor currently at BROADOAK ASSET MANAGEMENT, LLC located in Bethesda, Maryland and BROADOAK PARTNERS, LLC located in Bethesda, Maryland.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. William has worked at 3 firms and has passed the Series 65, Series 99TO, Series 62, Series 79TO, SIE, Series 7 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.
DIRECTOR
COASTAL PENSION SERVICES
7230 LEE DEFOREST DRIVE, SUITE 102
COLUMBIA, MD 21046
COASTAL IS A THIRD PARTY ADMINISTRATOR FOR RETIREMENT PLANS. I BECAME AN INVESTOR IN APRIL 2005 AND SPEND APPROXIMATELY 6 HOURS PER MONTH. I HAVE NO SPECIFIC DUTIES AT THE FIRM.
THE BROADOAK FUND
4800 Montgomery Ave
SUITE 230
BETHESDA, MD 20814
INVESTMENT RELATED
PRIVATE EQUITY/DEBT FUND
OWNER/INVESTOR/MANAGER
07/10/2010
40 Hours
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CRS (Client Relationship Summary) - RIA
Click below to view William Franklin Snider JR'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
September 5, 2012 - Present
BROADOAK ASSET MANAGEMENT, LLC
Office #1: 4800 Montgomery Lane Suite 230, Bethesda, MD 20814RIA
CRD#: 148901
Bethesda, MD
Current
June 25, 2007 - Present
BROADOAK PARTNERS, LLC
Office #1: 7201 Wisconsin Avenue Suite 630, Bethesda, MD 20814BD
CRD#: 143527
Bethesda, MD
Past
March 8, 2007 - April 10, 2007
MERCATOR SECURITIES LLC
BD
CRD#: 115066
RESTON, VA
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".
BA
BROADOAK ASSET MANAGEMENT, LLC
BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC
CRD#: 148901 / SEC#: 801-121842
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)Maryland
Registered Investment Advisory firm - (12/1/2022 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
Maryland(7/5/2007)
IAR
Maryland(9/5/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BA
BROADOAK ASSET MANAGEMENT, LLC
BROADOAK ADVISORS | POINTOAK ADVISORS, LLC | POINTOAK ADVISORS | BROADOAK ASSET MANAGEMENT, LLC
CRD#: 148901 / SEC#: 801-121842
RIA
Registered Investment Advisory firm - (7/23/2021 Approved)Maryland
Registered Investment Advisory firm - (12/1/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4800 Montgomery Lane Suite 230, Bethesda, MD 20814
Mailing Address
Phone number
(301) 358-2692
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 595,432,691 |
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.
