WM
Willliam J. Mccloskey
WILLIAM JOSEPH CAPITAL MANAGEMENT
Somers, CT 06071
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CRD#: 4802108
WM
Professional summary
Willliam Joseph Mccloskey, who also goes by Willliam J Mccloskey, is a registered financial advisor currently at WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. located in Somers, Connecticut.
Willliam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Willliam has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Willliam J Mccloskey
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.
1). Integrity Marketing Group, LLC (dba Stateline Senior Services), not investment-related. Sales of insurance - annuities, disability, health, life, long-term care. Managing Partner and full-time employee. 140 hours per month. 2). KEBGMG, LLC - this is a holding company for his shares of Integrity Financial Marketing, LLC.
CRS (Client Relationship Summary) - RIA
Click below to view Willliam Joseph Mccloskey'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®
NoneExperience
Current
March 14, 2016 - Present
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
Office #1: 48 South Rd Unit 2, Somers, CT 06071RIA
CRD#: 226535
Somers, CT
Past
February 13, 2009 - August 11, 2009
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SOMERS, CT
Past
November 4, 2004 - February 5, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SOMERS, CT
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".
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
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)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
Connecticut(3/14/2016)
IAR
Massachusetts(8/5/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
WJ
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
"WJCMLLC" AND "WJCM" | WILLIAM JOSEPH CAPITAL MANAGEMENT,LLC | WILLIAM JOSEPH CAPITAL MANAGEMENT, INC. | WILLIAM JOSEPH CAPITAL MANAGEMENT LLC | WAYPOINT WEALTH PLANNING AND INVESTMENT ADVISORS | THE ROBERSON TIERNEY FINANCIAL GROUP OF WILLIAM JOSEPH CAPITAL MANAGEMENT, LLC | STATELINE FINANCIAL SERVICES GROUP | LEGACY FINANCIAL GROUP | BOLMGREN RETIREPLAN
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)Upgrade to AdvisorCheck Premium
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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
26
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,153 |
| AUM (Assets Under Management) | $ 465,072,406 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WILLIAM JOSEPH CAPITAL MANAGEMENT, INC.
CRD#: 226535Somers, CT 06071TRUST BUT VERIFY
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