William J. Mccartin

FIRST FINANCIAL SECURITY

POTTSTOWN, PA 19464

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CRD#: 2334261

Professional summary

William John Mccartin JR is a registered financial advisor currently at FIRST FINANCIAL SECURITY, LLC located in Pottstown, Pennsylvania.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. William has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view William John Mccartin JR'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

June 30, 2000 - Present

FIRST FINANCIAL SECURITY, LLC

Office #1: 1976 East High Street, Pottstown, PA 19464

RIA

CRD#: 120878

POTTSTOWN, PA

Past

June 9, 1995 - December 31, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 22, 1994 - June 12, 1995

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

May 26, 1993 - October 3, 1994

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(6/30/2000)

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: 6/23/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/1/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/25/1993

General Securities Representative Examination

Current Firm

FIRST FINANCIAL SECURITY, LLC

CRD#: 120878 / SEC#:

New Jersey

Registered Investment Advisory firm - (11/7/2008 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/30/2000 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Pottstown, PA

Mailing Address

Phone number

(610) 220-7151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 9,600,000

Red Flags

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

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William J. Mccartin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William John Mccartin JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST FINANCIAL SECURITY, LLC

MML INVESTORS SERVICES, LLC

FIRST MONTAUK SECURITIES CORP.

FIRST UNION CAPITAL MARKETS CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/23/1993

Series 63

Date: 6/1/1993

Series 7

Date: 5/25/1993

Current Firm

FIRST FINANCIAL SECURITY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FIRST FINANCIAL SECURITY, LLC

TRUST BUT VERIFY

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