William B. Gooding

MAINSAIL ASSET MANAGEMENT

Birmingham, AL 35233

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CRD#: 7614860

Professional summary

William Brandon Gooding, who also goes by William B Gooding, is a registered financial advisor currently at MAINSAIL ASSET MANAGEMENT, LLC located in Birmingham, Alabama.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. William has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William B Gooding

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.

Independent Insurance Agent; not investment-related; started 04/2022; approximately 10 hours per month, all during securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Brandon Gooding'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

September 3, 2024 - Present

MAINSAIL ASSET MANAGEMENT, LLC

Office #1: 2229 1st Ave. S. Suite 225, Birmingham, AL 35233

RIA

CRD#: 128373

Birmingham, AL

Past

April 10, 2023 - August 13, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

Gadsden, AL

Past

April 10, 2023 - August 13, 2024

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Gadsden, AL

Past

October 13, 2022 - March 31, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

MOUNTAIN BRK, AL

Past

August 23, 2022 - March 31, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

MOUNTAIN BRK, AL

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".

MAINSAIL ASSET MANAGEMENT, LLC

CRD#: 128373 / SEC#: 801-67485

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

Alabama

Registered Investment Advisory firm - (4/2/2007 Terminated)

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.

Highlighted states indicate IAR registrations

IAR

Alabama
(9/3/2024)

IAR

Texas
(9/3/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/19/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/23/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 5/27/2022

Securities Industry Essentials Examination

Current Firm

MAINSAIL ASSET MANAGEMENT, LLC

CRD#: 128373 / SEC#: 801-67485

RIA

Registered Investment Advisory firm - (1/12/2007 Approved)

Alabama

Registered Investment Advisory firm - (4/2/2007 Terminated)

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Contact information

Main Address

2229 1st Ave. S. Suite 225, Birmingham, AL 35233

Mailing Address

Phone number

(205) 536-7776

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MAINSAIL ASSET MANAGEMENT BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	740
AUM (Assets Under Management)	$ 410,149,620

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. Gooding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Brandon Gooding's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

Primary Firm SEC Registration

MAINSAIL ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/19/2022

Series 7TO

Date: 8/23/2022

SIE

Date: 5/27/2022

Current Firm

MAINSAIL ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAINSAIL ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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