William Charles Brooks
Investment adviser representative at Osaic Institutions, Inc.
15 yearsExperience
1 stateRegistered in
$6.5BFirm assets
19 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
15 years in the industry.
- Osaic Institutions, Inc.Aug 2019 to now
- Infinex Investments, Inc.Jul 2019 to now
- Cooperative Bank of Cape CodJul 2019 to Nov 2019
- Kovack Securities, Inc.Jun 2017 to Jul 2019
- Capital Guardian Wealth Management LLCMar 2011 to Jul 2019
- Capital Guardian LLCMar 2011 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law1992
- Series 65 · Uniform Investment Adviser Law1995
State registrations
Registered as an investment adviser representative in 1 state (MA).
Osaic Institutions, Inc.
$6.5BAssets managed
16,312Clients
537Advisers
19 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2216679
- Firm CRD
- 35371