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William H. Anderson

BROOKWOOD INVESTMENT GROUP
BOLTON, CT
Some features on this profile are disabled
CRD#: 5681835
WA

Professional summary

William H Anderson, CFP®, who also goes by William Anderson, is a registered financial advisor currently at BROOKWOOD INVESTMENT GROUP located in Bolton, Connecticut.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. William has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Anderson

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) RESIDENTIAL REAL ESTATE, OWNERSHIP SINCE 1989, APPROX 2 HOURS PER MONTH ON MANAGEMENT OF PROPERTIES. (2) BROOKWOOD INSURANCE GROUP, INVESTMENT RELATED, 3930 E RAY ROAD, SUTIE 155, PHOENIX, AZ 85044, 01/2022 FIXED INSURANCE SALES, INSURANCE PRODUCER SINCE 01/2022; APPROX 5 HOURS PER MONTH SOME TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William H Anderson'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®
CFP®

Certified Financial Planner

Start date: 2021

Experience

Current

June 30, 2023 - Present

BROOKWOOD INVESTMENT GROUP

RIA
CRD#: 316544
BOLTON, CT
Past

June 17, 2022 - March 31, 2025

REDWOOD PRIVATE WEALTH

RIA
CRD#: 312942
BOLTON, CT
Past

January 31, 2017 - June 30, 2023

BELPOINTE ASSET MANAGEMENT LLC

RIA
CRD#: 143440
Bolton, CT
Past

October 14, 2014 - January 30, 2017

THE PATRIOT FINANCIAL GROUP, LLC

RIA
CRD#: 172470
BOLTON, CT
Past

February 26, 2014 - October 28, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
BOLTON, CT
Past

February 7, 2014 - January 28, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
BOLTON, CT
Past

April 21, 2010 - February 19, 2014

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
HOLYOKE, MA
Past

June 30, 2009 - February 19, 2014

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
HOLYOKE, MA

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".
BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Connecticut
(6/30/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/13/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/28/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/29/2009
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BI
BROOKWOOD INVESTMENT GROUP
APO FINANCIAL | YATRA WEALTH DESIGN | THE ALCHEMISTS | T. MANN FINANCIAL | STRATEGIC ASSET PRESERVATION, INC. | REDWOOD PRIVATE WEALTH | NVISION | LAUREL WEALTH SOLUTIONS | INNOVATIVE PLANNING PARTNERS | DOVETAIL CAPITAL MANAGEMENT LLC | CK WEALTH MANAGEMENT GROUP | BURGESSER WEALTH MANAGEMENT | BROOKWOOD INVESTMENT GROUP LLC | BROOKWOOD INVESTMENT GROUP

CRD#: 316544 / SEC#: 801-122508

RIA
Registered Investment Advisory firm - (10/18/2021 Approved)
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Contact information

Main Address
3930 E. Ray Road Suite 155, Phoenix, AZ 85044
Mailing Address
Phone number
(480) 646-3504
Established
Firm type
Fiscal year end
# of Employees
24

SEC notice filing (32 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

BROOKWOOD INVESTMENT GROUP FIRM BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts6,200
AUM (Assets Under Management)$ 1,064,198,265

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.

Company Information

BROOKWOOD INVESTMENT GROUP

CRD#: 316544Bolton, CT

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