William H. Mccauley
Professional summary
William Hugh Mccauley JR, who also goes by William Hugh Mccauley Jr., William Hugh Mccauley, William Mccauley, is a registered financial professional currently at REGIONAL INVESTMENT SERVICES, INC. located in Windermere, Florida.
William is registered as a RR (Registered Representative) and started their career in finance in 2007. William has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Hugh Mccauley JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 5, 2022 - Present
REGIONAL INVESTMENT SERVICES, INC.
Office #1: 9100 Conroy Windermere Road Suite 200, Office 223, Windermere, FL 34786February 15, 2019 - January 27, 2020
IFP SECURITIES, LLC
July 13, 2018 - April 3, 2019
LPL FINANCIAL LLC
January 26, 2016 - January 26, 2017
TRANSAMERICA CAPITAL, LLC
August 20, 2014 - September 9, 2015
CLARK SECURITIES, INC.
May 2, 2012 - January 19, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 19, 2008 - April 17, 2012
MMLISI FINANCIAL ALLIANCES, LLC
December 7, 2007 - April 17, 2012
MML DISTRIBUTORS, LLC
December 6, 2007 - April 17, 2012
MML INVESTORS SERVICES, LLC
March 19, 2007 - December 5, 2007
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/19/2022)
(3/15/2023)
(12/8/2022)
(12/12/2022)
(5/16/2023)
(8/2/2022)
(12/13/2022)
(7/14/2022)
(5/10/2024)
(1/5/2022)
(1/9/2023)
(4/24/2024)
(7/12/2022)
(1/13/2025)
(1/5/2022)
(11/30/2022)
(6/7/2023)
(1/5/2022)
(11/30/2022)
(2/21/2023)
(3/5/2024)
(6/15/2023)
(7/6/2023)
(2/21/2024)
(11/30/2022)
(4/29/2024)
(5/5/2023)
(5/5/2023)
(5/5/2023)
(8/10/2023)
(5/12/2023)
(7/7/2023)
(6/15/2023)
(5/8/2023)
(7/5/2023)
(1/7/2022)
(7/6/2023)
(5/11/2023)
(5/9/2023)
(5/5/2023)
(6/22/2023)
(5/9/2023)
(2/10/2024)
(5/16/2023)
(7/7/2023)
(6/15/2023)
(5/5/2023)
(6/2/2023)
(6/9/2023)
(6/9/2023)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
REGIONAL INVESTMENT SERVICES, INC.
CRD#: 46929 / SEC#: , 8-51588
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Arbitration | 1 |
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