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William Thomas Brooks

Investment Adviser Representative at SYNOVUS SECURITIES, INC.

Alpharetta, GACRD #5028846Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
18 yrs
States Registered
1 states
Exams Passed
11

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 1 states
Georgia
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 8/2/2006
Series 63
Uniform Securities Agent State Law Examination
Passed 11/29/2005
Series 50
Municipal Advisor Representative Qualification Exam
Passed 7/3/2025
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 7/13/2007
Series 54
Municipal Advisor Principal Qualification Examination
Passed 8/20/2025
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 6/4/2021
Series 53
Municipal Securities Principal Examination
Passed 6/19/2008
Series 24
General Securities Principal Examination
Passed 3/16/2006

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,0001.50%
Next $250,0001.25%
Next $500,0001.00%
Over $1,000,0000.75%
Source

Synovus Securities, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

SYNOVUS SECURITIES, INC.Current
10/28/2019Alpharetta, GA
SUNTRUST INVESTMENT SERVICES, INC.
8/8/200611/18/2014Atlanta, GA

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. William Thomas Brooks has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

William Thomas Brooks - Financial Advisor in Alpharetta, GA | AdvisorFinder