William F. Mcphaden
Professional summary
William Francis Mcphaden, who also goes by William F Mcphaden Mr, William F Mcphaden, William Francis Mcphaden III, William Mcphaden, is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Chicago, Illinois.
William is registered as a RR (Registered Representative) and started their career in finance in 2008. William has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Francis Mcphaden's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2022 - Present
NUVEEN SECURITIES, LLC
Office #1: 333 West Wacker Drive, Chicago, IL 60606-1286July 3, 2019 - June 9, 2021
M&T SECURITIES, INC.
February 24, 2016 - January 18, 2019
BLACKROCK INVESTMENTS, LLC
February 14, 2011 - February 12, 2016
PIMCO INVESTMENTS LLC
January 21, 2011 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 28, 2010 - January 7, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 27, 2008 - April 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 8, 2008 - April 15, 2010
WELLS FARGO CLEARING SERVICES, LLC
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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