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William Charles Brooks

Osaic Institutions, Inc.

Mattapoisett, MA

CRD 2216679

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Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • SOLICITATION SERVICES FOR OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2019-08-15
  • MA RA
    APPROVED
    Since 2019-08-15

Branch Locations

Mattapoisett, MA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Capital Guardian Llc Hingham MA 03/2011 06/2017
Capital Guardian Wealth Management Llc Hingham MA 03/2011 07/2019
Kovack Securities, Inc. Fort Lauderdale FL 06/2017 07/2019
Infinex Investments, Inc. Meriden CT 07/2019 Present
Cooperative Bank Of Cape Cod Hyannis MA 07/2019 11/2019
  • 03/2011 → 06/2017
    Capital Guardian Llc
    Hingham, MA
  • 03/2011 → 07/2019
    Capital Guardian Wealth Management Llc
    Hingham, MA
  • 06/2017 → 07/2019
    Kovack Securities, Inc.
    Fort Lauderdale, FL
  • 07/2019 → Present
    Infinex Investments, Inc.
    Meriden, CT
  • 07/2019 → 11/2019
    Cooperative Bank Of Cape Cod
    Hyannis, MA
Previous Registrations
  • 2011-03-18 → 2018-07-13
    Capital Guardian Wealth Management, Llc
    Hingham, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-02-02
S63 Uniform Securities Agent State Law Examination 1992-05-29
  • S65 Uniform Investment Adviser Law Examination
    1995-02-02
  • S63 Uniform Securities Agent State Law Examination
    1992-05-29

View on SEC IAPD

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