WB
William F. Brown
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CRD#: 501636
WB
Professional summary
William Francis Brown was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William is a previously registered financial advisor and started their career in finance in 1977. Prior to being barred, William had worked at 7 firms, which includes TRIAD ADVISORS LLC, UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER, PERSONAL FINANCIAL PROFILES INC, IFG NETWORK SECURITIES INC., J. B. HANAUER & CO., ADAMS BLOCK & COE SECURITIES INC., HALPERT AND COMPANY INC..
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Brown | William Frances Brown | William Brown
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
March 28, 2007 - October 6, 2010
TRIAD ADVISORS LLC
BD
CRD#: 25803
CORAL SPRINGS, FL
Past
January 20, 2000 - March 28, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
CORAL SPRINGS, FL
Past
April 15, 1999 - July 2, 1999
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
SCOTTSDALE, AZ
Past
July 29, 1997 - October 12, 2010
PERSONAL FINANCIAL PROFILES INC
RIA
CRD#: 109327
CORAL SPRINGS, FL
Past
July 18, 1997 - April 12, 1999
IFG NETWORK SECURITIES, INC.
BD
CRD#: 19948
ATLANTA, GA
Past
February 13, 1990 - August 5, 1997
J. B. HANAUER & CO.
BD
CRD#: 6958
PARSIPPANY, NJ
Past
October 27, 1989 - February 15, 1990
ADAMS, BLOCK & COE SECURITIES, INC.
BD
CRD#: 19439
FT. LAUDERDALE, FL
Past
April 7, 1977 - October 30, 1989
HALPERT AND COMPANY, INC.
BD
CRD#: 7094
MILLBURN, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 11/11/1977
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
TA
TRIAD ADVISORS LLC
ABLE FINANCIAL SERVICES | SOUTH FLORIDA WEALTH MANAGEMENT, LLC | SOBRINSKI FINANCIAL SERVICES, LLC | SINCLAIR FINANCIAL GROUP | SIKICH FINANCIAL, LLC (NAPERVILLE) | SHIRAZI BENEFITS | SCHULER INVESTMENT SERVICES | SANDSTONE ADVISOR | SANDEFUR & ASSOCIATES, LLC | ROSE FINANCIAL GROUP | ROMAN, BUTLER, FULLERTON & CO. | ROBERT W MILLER FINANCIAL SERVICES | RIVERTAN FINANCIAL GROUP | RICHARDSON INVESTMENT ADVISORY, LLC | RETIREMENT PLANNING ADVISORS, INC. | RETIREMENT BENEFITS GROUP | RETIREMENT ASSET MANAGEMENT | REGENT FINANCIAL WEALTH MANAGEMENT | R.B. GOLD & ASSOCIATES | PYRAMID FINANCIAL GROUP | PROXIMITY FINANCIAL PARTNERS | PROFESSIONAL ASSOCIATES WEALTH COACHING, INC. | POLARIS FINANCIAL SERVICES GROUP | PINKERTON BROKERAGE LLC | PEARSON AND CO. | PAYNE FINANCIAL SERVICES, INC. | PATHWAY WEALTH SOLUTIONS LLC | PARRY FINANCIAL | PARABLE FINANCIAL NETWORK (WAYCROSS) | PARABLE FINANCIAL NETWORK | OVERMAN CAPITAL MANAGEMENT | OPULENTMINDS, LLC | OPTIMUM FINANCIAL, LLC | ONE DIGITAL | OMNIHARBOR ASSET MANAGEMENT | OAK WEALTH MANAGEMENT | NOFFSINGER FINANCIAL GROUP | NIAGARA FINANCIAL ADVISORS, INC. | NEW HOPE FINANCIAL SERVICES | NET EQUITY CONCEPTS, INC. | NATHAN STIBBS | N/A | MICHAEL A. HERRON, CFP | MC_ WEALTH SOLUTIONS | MCDONALD WEALTH MANAGEMENT | MC2 WEALTH SOLUTIONS | MC WEALTH SOLUTIONS | MC ASSOCIATES | MATTHEW B BROZIK PRIVATE WEALTH MANAGEMENT | MATT PORTER FINANCIAL | MANIET FINANCIAL SERVICES NETWORK | MAKEFIELD ASSET MANAGEMENT, INC | MAKEFIELD ASSET MANAGEMENT INC. | LOCUST LANE PARTNERS | LIPMAN RICHARDSON, LLC | LEWIS WEALTH MANAGEMENT | LARSEN WEALTH MANAGEMENT | KZ WEALTH MANAGEMENT | KRINER FINANCIAL SERVICES GROUP | KNOXVILLE FINANCIAL SERVICES | KAPLAN FINANCIAL GROUP | JONTHOMAS MONEY MANAGEMENT | JOHN F. WILSON INVESTMENTS | JASON P. FLURRY, CFP | JACK KENDELL, CLU, CHFC, MBA | INVESTMENT DESIGNERS, INC. | INGLESIDE FINANCIAL ADVISORS, LLC | INCOMPASS FINANCIAL PARTNERS (MARIETTA) | INCOMPASS FINANCIAL PARTNERS | IMB SECURITIES, INC. | IMB INC. | HOBBS GROUP ADVISORS, LLC | HINES CAPITAL | HENDERSON HUTCHERSON & MCCULLOUGH CAPITAL ADVISORS | HELBIG FINANCIAL SERVICES | HEBCO INC. | HAWKINS & BOUKATHER, LLC | GREGG S LENTZ AND ASSOCIATES FINANCIAL PLANNING AND WEALTH MANAGEMENT | GIDWANI CAPITAL LLC | GENFINANCE, LLC | GCG FINANCIAL, LLC | GALLAGHER BENEFIT SERVICES | FUNDAMENTAL WEALTH ADVISORS, LLC | FULL CIRCLE WEALTH, LLC | FULL CIRCLE WEALTH LLC | FRICK INVESTMENT GROUP | FREEDOM FINANCIAL CONSULTANTS | FORESIGHT FINANCIAL PARTNERS | FOCUSED WEALTH, LLC | FINANCIAL STRATEGIES OF LAKE NORMAN | FINANCIAL RESOURCES, INC. | FINANCIA ADVISORS | FERRIN CAPITAL ADVISORS | EXECUTIVE FINANCIAL RESOURCES | EXCLUSIVE FINANCIAL RESOURCES, LLC | EXCLUSIVE ADVISORS LLC | EXCALIBUR FINANCIAL SERVICES | ESTATE & FINANCIAL SERVICES, INC. | ERSTAD FINANCIAL LLC | EMERY FINANCIAL GROUP | EMERALD WEALTH MANAGEMENT, LLC | E. PHILLIP POWELL, CPA | E. PHILLIP POWELL | E. F. WISE PLANNING, LLC | DUNHAM & DEITEL WEALTH MANAGEMENT | DOYLE INSURANCE | DAVID BORON | DAVID A HICKS, LTD. | D2 INVESTMENTS | CURTIN FINANCIAL SERVICES | CREATIVE CAPITAL WEALTH MANAGEMENT GROUP | CRA FINANCIAL SERVICE, LLC | CORNERSTONE FINANCIAL STRATEGIES | CONSOLIDATED PLANNING GROUP, INC | COMPASS WEALTH SERVICES | COMPASS FINANCIAL PARTNERS | COBBLESTONE WEALTH ADVISORS | CMA FINANCIAL SERVICES | CHRYSALIS CAPITAL MANAGEMENT | CHAU FINANCIAL GROUP, INC. | CD INTEGRITY FINANCIAL | CAPSTONE | CAPITAL ASSET MANAGEMENT COUNSELORS | CANTERBURY WEALTH ADVISORS, LLC | BUCCI FINANCIAL SERVICES | BRYBECK FINANCIAL | BROWN ADVISORY GROUP, LLC (CRANSTON) | BROWN ADVISORY GROUP, LLC | BRICKLER ASSET MANAGEMENT, INC. | BREWER FINANCIAL SERVICES, LLC | BRAESIDE INVESTMENT CORPORATION | BOWMAN & ASSOCIATES | BALANCED FINANCIAL PRINCIPLES | BALANCE FINANCIAL SOLUTIONS, LLC | ASSET MANAGEMENT ADVISORS, INC. | ASSET MANAGEMENT & PROTECTION | ASSET ADVISORS GROUP, LLC | ASCENT FINANCIAL | ARGENTUM CAPITAL MANAGEMENT | ARCHER INVESTMENT MANAGEMENT | APEX WEALTH MANAGEMENT, LLC | AMFED INVESTMENT SERVICES, LLC | AMERICAN FINANCIAL MANAGEMENT | AMA CAPITAL MANAGEMENT | ALERA GROUP | AIM ADVISORS...
CRD#: 25803 / SEC#: 801-55518, 8-42007
BD
Terminated by SEC on 10/25/2024
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(800) 720-4003
Established
Florida since 12/31/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
2,530
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | MEMBER | |
| CHAFFEE, HAROLD GERARD | VP, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| GERB, JASON | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| NORTHRIP, IRYNA YAKOVLEVNA | SVP, CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISORY | 6466657 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| ROSENTHAL, JEFFREY LIN | CEO/PRESIDENT AND DIRECTOR | 2474795 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Regulatory assets under management
| Total Number of Accounts | 4,228 |
| AUM (Assets Under Management) | $ 1,106,198,778 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2024 |
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.
