William E. Mcguire

TAG WEALTH ADVISORS

Rochester, MN 55901

Some features on this profile are disabled

CRD#: 1065834

Professional summary

William Elmer Mcguire, who also goes by Bill Mcguire, is a registered financial advisor currently at TAG WEALTH ADVISORS located in Rochester, Minnesota and LEIGH BALDWIN & CO., LLC located in Rochester, Minnesota.

William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. William has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bill Mcguire

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.

MCGUIRE HUNTING ENTERPRISES LLC POSITION: Partner NATURE: We lease hunting land and have done some logging in the past. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1995 ADDRESS: Rochester MN 55901 DESCRIPTION: Paying bills associated with the property. MCGUIRE FINANCIAL SERVICES POSITION: Owner NATURE: Life Insurance & annuity sales and brokerage INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 3 START DATE: 07/01/1985 ADDRESS: Rochester MN 55901 DESCRIPTION: Sales of life and annuities. Brokering to other agents life and annuity products. Employee Communication of Benefit Programs.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Elmer Mcguire's CRS (Customer Relationship Summary).

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

Current

September 10, 2019 - Present

TAG WEALTH ADVISORS

Office #1: 1027 7th Street Nw Suite 201, Rochester, MN 55901

RIA

CRD#: 298446

Rochester, MN

Current

September 11, 2019 - Present

LEIGH BALDWIN & CO., LLC

Office #1: 1027 7th Street Nw Suite 105, Rochester, MN 55901

RIA

CRD#: 38751

Rochester, MN

Past

December 10, 2015 - September 13, 2019

CAPITAL ANALYSTS

RIA

CRD#: 162200

Minneapolis, MN

Past

January 2, 2014 - September 13, 2019

LINCOLN INVESTMENT

RIA

CRD#: 519

ROCHESTER, MN

Past

August 2, 2010 - September 13, 2019

LINCOLN INVESTMENT

CRD#: 519

ROCHESTER, MN

Past

February 20, 1997 - August 2, 2010

MM ASCEND LIFE INVESTOR SERVICES, LLC

CRD#: 36451

MINNEAPOLIS, MN

Past

January 6, 1993 - December 31, 1996

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 5, 1982 - December 31, 1990

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Alabama
(6/30/2022)

Florida
(10/1/2019)

Iowa
(10/9/2019)

IAR

Minnesota
(9/10/2019)

Minnesota
(10/9/2019)

IAR

Texas
(9/11/2022)

Washington
(10/9/2019)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/26/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/15/1982

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TAG WEALTH ADVISORS

TAG WEALTH ADVISORS | TRANSITION ADVISORY GROUP LLC

CRD#: 298446 / SEC#:

Alabama

Registered Investment Advisory firm - (6/30/2022 Approved)

Minnesota

Registered Investment Advisory firm - (9/14/2018 Approved)

Texas

Registered Investment Advisory firm - (9/9/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

North Oaks, MN

Mailing Address

Phone number

(612) 328-9914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	84
AUM (Assets Under Management)	$ 31,233,287

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.

Similar Advisors

David Carrow

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Rochester, MN

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William E. Mcguire

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Elmer Mcguire's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEIGH BALDWIN & CO., LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

MM ASCEND LIFE INVESTOR SERVICES, LLC

VOYA FINANCIAL ADVISORS, INC.

SII INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2013

Series 63

Date: 3/16/1998

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 9/15/1982

FINRA

Current Firm

TAG WEALTH ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAG WEALTH ADVISORS

TRUST BUT VERIFY

Similar Advisors