AM
Ashley Mcguinness
WILLIAM BLAIR
MANHATTAN BEACH, CA
Some features on this profile are disabled
CRD#: 4857904
AM
Professional summary
Ashley Mcguinness, who also goes by Ashley E. Peters, Ashley Peters, is a registered financial advisor currently at WILLIAM BLAIR located in Manhattan Beach, California.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Ashley has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley E. Peters | Ashley Peters
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.
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Mcguinness's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashley Mcguinness'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
February 21, 2020 - Present
WILLIAM BLAIR
Office #2: 1900 Avenue Of The Stars Suite 500, Los Angeles, CA 90067RIA
BD
CRD#: 1252
MANHATTAN BEACH, CA
Current
February 21, 2020 - Present
WILLIAM BLAIR
Office #1: 1900 Avenue Of The Stars Suite 500, Los Angeles, CA 90067RIA
BD
CRD#: 1252
LOS ANGELES, CA
Past
March 27, 2014 - February 25, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BEVERLY HILLS, CA
Past
March 12, 2014 - February 25, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BEVERLY HILLS, CA
Past
October 1, 2008 - July 24, 2009
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ATLANTA, GA
Past
October 26, 2004 - October 1, 2008
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
ATLANTA, GA
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 BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Alabama(2/21/2020)
RR
Arizona(1/30/2024)
RR
California(2/21/2020)
IAR
California(2/21/2020)
RR
Colorado(2/21/2020)
RR
Delaware(2/21/2020)
RR
Florida(2/21/2020)
RR
Georgia(2/21/2020)
RR
Hawaii(2/21/2020)
RR
Idaho(2/21/2020)
RR
Illinois(2/21/2020)
RR
Indiana(10/22/2024)
RR
Kentucky(2/21/2020)
RR
Maryland(2/18/2021)
RR
Massachusetts(2/21/2020)
RR
Nevada(2/21/2020)
RR
New Hampshire(8/7/2020)
RR
New York(2/21/2020)
RR
North Carolina(2/21/2020)
RR
Ohio(4/22/2024)
RR
Oregon(9/9/2021)
RR
Pennsylvania(2/21/2020)
RR
Puerto Rico(9/18/2024)
RR
South Carolina(12/9/2024)
RR
Tennessee(2/21/2020)
RR
Texas(2/21/2020)
RR
Utah(2/21/2020)
RR
Washington(10/4/2021)
RR
Wisconsin(5/16/2024)
RR
Wyoming(9/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
WILLIAM BLAIR
WILLIAM BLAIR | WILLIAM BLAIR & COMPANY L.L.C. | WILLIAM BLAIR & COMPANY
CRD#: 1252 / SEC#: 801-688, 8-2698
RIA
Registered Investment Advisory firm - SEC (12/24/1947 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
The William Blair Building 150 North Riverside, Chicago, IL 60606
Mailing Address
The William Blair Building 150 North Riverside, Chicago, IL 60606-1594
Phone number
(312) 236-1600
Established
Delaware since 10/30/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
469
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WBC HOLDINGS, L.P. | HOLDING COMPANY | |
| CITARDI, CISSIE | EXECUTIVE COMMITTEE, GENERAL COUNSEL | 6642613 |
| DEVORE, RYAN JACOB | EXECUTIVE COMMITTEE | 3049671 |
| DUWA, ROBERT J | EXECUTIVE COMMITTEE | 2931296 |
| GLEDHILL, BRENT WALKER | PRESIDENT, CEO | 2921069 |
| MCLAUGHLIN, SCOTT THOMAS | EXECUTIVE COMMITTEE | 2481285 |
| QUINN, MICHAEL PATRICK | EXECUTIVE COMMITTEE | 3257072 |
| RASAVONGXAY, WILLSON B | CHIEF COMPLIANCE OFFICER | 6593731 |
| SATTERFIELD, BETH A | EXECUTIVE COMMITTEE | 6011858 |
| TOLE, STEVEN ROBERT | EXECUTIVE COMMITTEE | 5885283 |
| TRIMBERGER, MICHAEL WILLIAM | CFO | 5329834 |
| ZIMMER, MATTHEW MONTGOMERY | EXECUTIVE COMMITTEE | 4157826 |
Regulatory assets under management
| Total Number of Accounts | 37,973 |
| AUM (Assets Under Management) | $ 58,329,726,421 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
| Bond | 1 |
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.
