William N. Mckenna

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CRD#: 1043693

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Nicholas Mckenna was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1982. William had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 9, 2014 - June 21, 2018

DIVERSIFIED FINANCIAL MANAGEMENT

RIA

CRD#: 171813

NORWELL, MA

Past

June 4, 2003 - July 10, 2014

DIVERSIFIED FINANCIAL MANAGEMENT INC.

RIA

CRD#: 127264

NORWELL, MA

Past

April 29, 2003 - September 30, 2005

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

January 8, 1990 - May 7, 2003

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

November 19, 1989 - January 30, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

June 28, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

DIVERSIFIED FINANCIAL MANAGEMENT

D/B/A DIVERSIFIED FINANCIAL MANAGEMENT ASSOCIATES, INC. | DIVERSIFIED FINANCIAL MANAGEMENT ASSOCIATES, INC. | DIVERSIFIED FINANCIAL MANAGEMENT

CRD#: 171813 / SEC#: 801-79902

RIA

Registered Investment Advisory firm - (6/13/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/1/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/25/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/12/1985

General Securities Principal Examination

Current Firm

DIVERSIFIED FINANCIAL MANAGEMENT

D/B/A DIVERSIFIED FINANCIAL MANAGEMENT ASSOCIATES, INC. | DIVERSIFIED FINANCIAL MANAGEMENT ASSOCIATES, INC. | DIVERSIFIED FINANCIAL MANAGEMENT

CRD#: 171813 / SEC#: 801-79902

RIA

Registered Investment Advisory firm - (6/13/2014 Approved)

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Contact information

Main Address

80 Washington Street Building E-13, Norwell, MA 02061-1729

Mailing Address

Phone number

(781) 792-0440

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DFM ADV PART 2A BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	438
AUM (Assets Under Management)	$ 302,397,835

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

William N. Mckenna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DIVERSIFIED FINANCIAL MANAGEMENT INC.

PURSHE KAPLAN STERLING INVESTMENTS

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

DIVERSIFIED FINANCIAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/1994

Series 63

Date: 6/25/1982

Series 7

Date: 6/19/1982

Series 24

Date: 9/12/1985

Current Firm

DIVERSIFIED FINANCIAL MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DIVERSIFIED FINANCIAL MANAGEMENT

TRUST BUT VERIFY

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