Chief Compliance Officer · Synovus Securities, Inc.
William Thomas Brooks
CRD 5028846 · Named on Form ADV at one SEC-registered adviser
At a glance
Synovus Securities, Inc., an SEC-registered broker-dealer firm based in Columbus, GA with $8.4 billion in regulatory assets, lists William Thomas Brooks on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- Synovus Securities, Inc.Chief Compliance OfficerBroker-dealer firm · Columbus, GA · $8.4B in regulatory assets
AtlasMembers
William’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2006 (20 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
William’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (7)
- Guy Leonard SextonEvp/director, Synovus Securities, Inc.
- Robert Parker VarnerPresident, Synovus Securities, Inc.
- Gene Frederick GundersonDirector of Compliance, Trust & Brokerage, Synovus Securities, Inc.
- Robert Ward LawPresident - CFG Division, Synovus Securities, Inc.
- Leah Jeanette KirkChief Operations Officer, Synovus Securities, Inc.
2 more people named with William on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For William’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.