William E. Pauley
Professional summary
William Edward Pauley, who also goes by William E Pauley, William Pauley, was a registered financial advisor .
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. William had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2026 - Present
January 23, 2015 - April 8, 2026
HARTFORD FUNDS
April 1, 2014 - December 31, 2014
HARTFORD FUNDS
July 19, 2013 - April 8, 2026
HARTFORD FUNDS DISTRIBUTORS, LLC
August 13, 2012 - June 28, 2013
ALLSPRING FUNDS MANAGEMENT, LLC
August 10, 2012 - June 28, 2013
ALLSPRING FUNDS DISTRIBUTOR, LLC
December 22, 2011 - August 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
December 22, 2011 - August 13, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 28, 2010 - October 3, 2011
CHASE INVESTMENT SERVICES CORP.
December 17, 2008 - October 3, 2011
CHASE INVESTMENT SERVICES CORP.
August 1, 2008 - October 6, 2008
NEW ENGLAND SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(5/14/2026)
(5/21/2026)
Exams
Current firm
No current employment
Red Flags
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