Carol A. Mcalister

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CRD#: 4751242

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.

Carol Ann Mcalister, who also goes by Carol Ann Sawrie, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 2004. Carol had worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol Ann Sawrie

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.

Carol A. McAlister, CPA, Tax Preparation, paid by clients individually for work performed. EXECUTOR OF JOAN C KYLER - MOTHER'S ESTATE POSITION: Executor of Estate NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/03/2019 ADDRESS: 10722 Floral Park Drive, Austin TX 78759, United States DESCRIPTION: Handling business regarding mom's estate Home Mortgage representative with Newrez Insurance agent with Synergy Financial Solutions, paid a salary with commissions.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2022 - August 15, 2022

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

RIA

CRD#: 226535

Cedar Park, TX

Past

May 23, 2018 - September 10, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

AUSTIN, TX

Past

June 17, 2010 - February 12, 2016

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

AUSTIN, TX

Past

October 23, 2007 - June 16, 2010

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

AUSTIN, TX

Past

July 13, 2006 - June 16, 2010

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

AUSTIN, TX

Past

June 10, 2004 - November 2, 2004

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD#: 226535 / SEC#: 801-119964

RIA

Registered Investment Advisory firm - (12/11/2020 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (10/29/2021 Terminated)

Georgia

Registered Investment Advisory firm - (12/16/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (11/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2021 Terminated)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/9/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 6/15/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/9/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

CRD#: 226535 / SEC#: 801-119964

RIA

Registered Investment Advisory firm - (12/11/2020 Approved)

Connecticut

Registered Investment Advisory firm - (12/6/2021 Terminated)

Florida

Registered Investment Advisory firm - (10/29/2021 Terminated)

Georgia

Registered Investment Advisory firm - (12/16/2021 Terminated)

North Carolina

Registered Investment Advisory firm - (11/1/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/29/2021 Terminated)

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Contact information

Main Address

210 Red Stone Hill Road Suite 5, Bristol, CT 06010

Mailing Address

200 West Hartford Street #u, Milford, PA 18337

Phone number

(860) 973-3214

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WJCM ADV PART 2 (5/19/2025)

Regulatory assets under management

Total Number of Accounts	1,153
AUM (Assets Under Management)	$ 465,072,406

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.

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Advisor Monitoring

Firm Stability Insights

Carol A. Mcalister

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

THRIVENT INVESTMENT MANAGEMENT INC.

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

AMERICAN GENERAL SECURITIES INCORPORATED

Primary Firm SEC Registration

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/9/2022

Series 63

Date: 6/18/2004

Series 6TO

Date: 6/15/2024

SIE

Date: 10/1/2018

Series 6

Date: 6/9/2004

Current Firm

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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