William B. Sweigart

GLOBAL BROKERAGE SERVICES

Hunt Valley, MD 21031

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CRD#: 2560357

Professional summary

William Burton Sweigart is a registered financial advisor currently at GLOBAL BROKERAGE SERVICES, INC. located in Hunt Valley, Maryland.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. William has worked at 1 firm and has passed the Series 66, Series 99TO, Series 52TO, SIE, Series 7, Series 4, Series 53 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.

JOHNSON & SWEIGART: 11350 MCCORMICK RD EP III SUITE 901 HUNT VALLEY, MD 21031 CPA: 40 HRS/WK : DURING TRADING HRS. PARTNER ACCOUNT & TAX PREPARATION FOR INDIVIDUALS AND SMALL BUSINESSES UNIVERSAL ASSET MANAGEMENT, INC. VICE PRESIDENT 2-3/WEEK DURING SECURITY TRADING HOURS RESPONSIBLE FOR THE MANAGEMENT AND OVERSIGHT OF AFFILIATED COMPANIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Burton Sweigart's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view William Burton Sweigart'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

May 16, 2001 - Present

GLOBAL BROKERAGE SERVICES, INC.

Office #1: 11350 Mccormick Rd Ep Iii Suite 901, Hunt Valley, MD 21031Office #2: 11350 Mccormick Rd. Et Iii Suite 901, Hunt Valley, MD 21031

RIA

CRD#: 37505

Hunt Valley, MD

Current

January 23, 1995 - Present

GLOBAL BROKERAGE SERVICES, INC.

Office #1: 11350 Mccormick Rd Ep Iii Suite 901, Hunt Valley, MD 21031

RIA

CRD#: 37505

Hunt Valley, MD

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".

GLOBAL BROKERAGE SERVICES, INC.

CRD#: 37505 / SEC#: 801-131268, 8-47763

RIA

Registered Investment Advisory firm - SEC (10/10/2024 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Georgia

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Illinois

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Maryland

Registered Investment Advisory firm - SEC (11/18/2024 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/1/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/5/2024 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Utah

Registered Investment Advisory firm - SEC (12/10/2012 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/2/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Indiana
(10/23/2023)

Maryland
(2/1/1995)

IAR

Maryland
(5/16/2001)

South Carolina
(11/4/2019)

Virginia
(2/7/2001)

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 66

Date: 1/31/2001

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/12/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 8/28/1996

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

GLOBAL BROKERAGE SERVICES, INC.

CRD#: 37505 / SEC#: 801-131268, 8-47763

RIA

Registered Investment Advisory firm - SEC (10/10/2024 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Georgia

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Illinois

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Maryland

Registered Investment Advisory firm - SEC (11/18/2024 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/1/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/5/2024 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Utah

Registered Investment Advisory firm - SEC (12/10/2012 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/2/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/31/2024 Terminated)

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

11350 Mccormick Rd. Epiii, Suite 1204, Hunt Valley, MD 21031

Mailing Address

11350 Mccormick Rd. Ep Iii Suite 1204, Hunt Valley, MD 21031

Phone number

(410) 785-4990

Established

Maryland since 10/07/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (11 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART2A: WRAP FEE PLATFORM BROCHURE (8/18/2025)

Direct owners and executive officers

Name	Position	CRD#
JOHNSON, THOMAS WESLEY	PRESIDENT, CEO, CFO, COO, CLO, CCO	1803129
SWEIGART, WILLIAM BURTON	VICE PRESIDENT	2560357

Regulatory assets under management

Total Number of Accounts	562
AUM (Assets Under Management)	$ 137,300,000

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

William B. Sweigart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Burton Sweigart's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view William Burton Sweigart's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL BROKERAGE SERVICES, INC.

Primary Firm SEC Registration

GLOBAL BROKERAGE SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/31/2001

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/23/1994

Series 4

Date: 11/12/1997

Series 53

Date: 8/28/1996

Series 24

Date: 3/23/1995

FINRA

Current Firm

GLOBAL BROKERAGE SERVICES, INC.

Contact information

SEC notice filing (11 States and Territories)

FINRA licenses (24 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GLOBAL BROKERAGE SERVICES, INC.

TRUST BUT VERIFY

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