William J. Mcculloch

ASSETMARK BROKERAGE

Phoenix, AZ 85012-2426

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CRD#: 2376431

Professional summary

William John Mcculloch is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Phoenix, Arizona.

William is registered as a RR (Registered Representative) and started their career in finance in 1993. William has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 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) - BD

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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

August 15, 2014 - Present

ASSETMARK BROKERAGE, LLC

Office #1: 3200 N. Central Avenue 7th Floor, Phoenix, AZ 85012-2426

CRD#: 169804

Phoenix, AZ

Past

October 20, 2009 - August 15, 2014

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

May 11, 2006 - July 27, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

PHOENIX, AZ

Past

December 3, 2004 - June 25, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PHOENIX, AZ

Past

January 7, 2004 - May 1, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

May 1, 2002 - December 19, 2003

HARRISDIRECT LLC

CRD#: 42159

JERSEY CITY, NJ

Past

August 14, 1998 - May 1, 2002

HARRIS INVESTORLINE INC.

CRD#: 6362

SEATTLE, WA

Past

July 28, 1993 - August 11, 1993

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

State Registrations and Notice Filings

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

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

Arizona
(8/15/2014)

Exams

State Security Law Exam

Series 63

Date: 8/25/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/19/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/23/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASSETMARK BROKERAGE, LLC

CRD#: 169804 / SEC#: , 8-69391

Broker-Dealer Firm Regulated by FINRA (San Francisco district office)

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Contact information

Main Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Mailing Address

1655 Grant Street 10th Floor, Concord, CA, 94520

Phone number

(818) 528-3727

Established

Delaware since 09/25/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ASSETMARK FINANCIAL HOLDINGS, INC.	OWNER
HANSEN, CARRIE ELLEN	PRESIDENT/ MANAGING PRINCIPAL	4781315
KOVAL, JOHN HENRY	AML COMPLIANCE OFFICER/ CFO/ FINOP/ PFO/ POO	2468284
LAMBUTH, RYAN SCOTT	CHIEF COMPLIANCE OFFICER	5382199

Red Flags

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Firm Stability Insights

William J. Mcculloch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

CAPITAL BROKERAGE CORPORATION

BANC ONE SECURITIES CORPORATION

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

HARRISDIRECT LLC

HARRIS INVESTORLINE INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/25/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/13/1998

Series 6

Date: 7/19/1993

Series 24

Date: 8/23/2007

FINRA

Current Firm

ASSETMARK BROKERAGE, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ASSETMARK BROKERAGE, LLC

TRUST BUT VERIFY

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