William J. Mcauliffe
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 James Mcauliffe III, CFP®, who also goes by Bill Mcauliffe, William J Mcauliffe, William James Mcauliffe III, William James Mcauliffe, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
April 13, 2020 - February 20, 2025
ALLSTATE FINANCIAL SERVICES, LLC
March 20, 2009 - December 31, 2019
ALLSTATE FINANCIAL SERVICES, LLC
June 5, 2006 - March 18, 2009
GROVE POINT INVESTMENTS, LLC
October 21, 2003 - June 10, 2005
NYLIFE SECURITIES LLC
June 7, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
June 7, 2001 - August 6, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 22, 1992 - June 10, 1999
BMA FINANCIAL SERVICES, INC.
July 18, 1986 - November 19, 1991
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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