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WD

William J. Dorough

ALT FUND DISTRIBUTORS LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 2541670
WD

Professional summary

William James Dorough, who also goes by William J Dorough, is a registered financial professional currently at ALT FUND DISTRIBUTORS LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1994. William has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William J Dorough

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 James Dorough'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 8, 2020 - Present

ALT FUND DISTRIBUTORS LLC

Office #1: 140 East 45th Street Suite 15 B, New York, NY 10017
BD
CRD#: 146547
New York, NY
Past

November 25, 2015 - September 18, 2019

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
SCOTTSDALE, AZ
Past

March 14, 2013 - December 4, 2015

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

January 18, 2011 - October 25, 2012

VALMARK SECURITIES, INC.

BD
CRD#: 31243
AKRON, OH
Past

December 14, 2010 - October 25, 2012

PLANTE MORAN FINANCIAL ADVISORS

RIA
CRD#: 112158
SOUTHFIELD, MI
Past

December 7, 2010 - October 25, 2012

PLANTE MORAN INSURANCE AGENCY

BD
CRD#: 127257
SOUTHFIELD, MI
Past

August 22, 2007 - October 28, 2010

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
NOVI, MI
Past

August 13, 2007 - October 28, 2010

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
NOVI, MI
Past

June 13, 2006 - August 1, 2007

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

January 27, 2005 - June 15, 2006

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

December 10, 2003 - December 9, 2004

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

February 22, 2002 - December 11, 2003

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

July 24, 2001 - October 11, 2001

CONSECO EQUITY SALES, INC.

BD
CRD#: 4125
CARMEL, IN
Past

May 4, 2000 - June 26, 2001

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
PORTLAND, ME
Past

February 2, 2000 - May 1, 2000

LPM INVESTMENT SERVICES, INC

BD
CRD#: 33980
PALM BEACH, FL
Past

July 31, 1998 - November 10, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 12, 1994 - August 6, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Michigan
(1/8/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/26/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1994
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALT FUND DISTRIBUTORS LLC
ALT FUND DISTRIBUTORS LLC | CATALYST MUTUALS FUND DISTRIBUTORS LLC | CAPITAL REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES, LLC | ASCENT REAL ESTATE SECURITIES LLC

CRD#: 146547 / SEC#: , 8-67829

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 East 45th Street Suite 15 B, New York, NY 10017
Mailing Address
140 East 45th Street Suite 15 B, New York, NY 10017
Phone number
(646) 757-8062
Established
Colorado since 12/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MFUND DISTRIBUTORS LLCOWNER
MEEHAN, KEVIN PATRICKCCO, FINOP4652695
MILDER, LARRY IRWINCEO1306646

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.

Company Information

ALT FUND DISTRIBUTORS LLC

CRD#: 146547New York, NY 10017

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