William J. Mcgough

REGIONS SECURITIES LLC

Charlotte, NC 28202

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CRD#: 2431057

Professional summary

William John Mcgough JR, who also goes by John Mcgough, is a registered financial professional currently at REGIONS SECURITIES LLC located in Charlotte, North Carolina.

William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John Mcgough

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

Click below to view William John Mcgough 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

January 14, 2014 - Present

REGIONS SECURITIES LLC

Office #1: 615 South College Street, Charlotte, NC 28202

CRD#: 159475

Charlotte, NC

Past

November 1, 2010 - April 18, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

Past

January 23, 1997 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHARLOTTE, NC

Past

July 7, 1994 - January 11, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 7, 1994 - January 11, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 27, 1994 - February 16, 1994

L.C. WEGARD & CO., INC.

CRD#: 3722

NEW YORK, NY

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

Alabama
(3/13/2014)

Arkansas
(3/13/2014)

Florida
(1/17/2014)

Georgia
(3/12/2014)

Illinois
(1/14/2014)

Indiana
(3/14/2014)

Iowa
(3/13/2014)

Kentucky
(3/13/2014)

Louisiana
(4/21/2014)

Mississippi
(3/13/2014)

Missouri
(2/27/2014)

North Carolina
(3/12/2014)

South Carolina
(3/17/2014)

Tennessee
(3/13/2014)

Texas
(3/27/2014)

Virginia
(3/13/2014)

Exams

State Security Law Exam

Series 63

Date: 3/12/2014

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: 1/26/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2014

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

REGIONS SECURITIES LLC

REGIONS SECURITIES | REGIONS SECURITIES LLC

CRD#: 159475 / SEC#: , 8-68990

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Mailing Address

1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309

Phone number

(404) 279-7400

Established

Delaware since 10/12/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RFC FINANCIAL SERVICES HOLDING LLC	PARENT
AMIN, RITVIG NIPENDRA	CHAIRMAN OF THE BOARD & DIRECTOR	2901218
GIARDINO, NEIL	CEO, PRESIDENT AND DIRECTOR	2428962
HOLLOWAY, GLENN CHRISTOPHER	FINOP, CFO, PFO, POO & DIRECTOR	4566759
MAGGIORE, JILL WRIGHT	CHIEF COMPLIANCE OFFICER & DIRECTOR	1001068
MAXWELL, JASON MATTHEW	CHIEF LEGAL OFFICER & DIRECTOR	5997125

Disclosures

Regulatory Event

Red Flags

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

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Firm Stability Insights

William J. Mcgough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

L.C. WEGARD & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/12/2014

SIE

Date: 10/1/2018

Series 7

Date: 1/26/1994

Series 24

Date: 8/22/2014

FINRA

Current Firm

REGIONS SECURITIES LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

REGIONS SECURITIES LLC

TRUST BUT VERIFY

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