William Scroggins (CRD# 7742394) is an Investment Advisor Representative working at Dempsey Lord Smith, LLC in Anniston, AL and has 1 year of experience in the finance industry. William Scroggins has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2506003
Capstone Global Advisors, LLC
CRD# 4072761
Ameriprise Financial Services, LLC
CRD# 1938689
Merrill Lynch, Pierce, Fenner & Smith Incorporated
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Retired/unemployed | Anniston, AL | Apr 2022 - Current | 2 |
| Jacksonville State University | Jacksonville, AL | Sep 1979 - Mar 2022 | 42 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Sep 2023 |
- AL
-
Total Assets Under Management586MILLIONS
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Total Number of Accounts3,106ACCOUNTS
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Average Account Value$188,543
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AZ, CA, CO, FL, GA, IL, IN, KY, LA, MA, MD, MI, MN, MO, MS, NC, NM, NV, OH, PA, PR, SC, TN, TX, VA
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