William E. Pauley
Professional summary
William Edward Pauley, who also goes by William E Pauley, William Pauley, is a registered financial advisor currently at HARTFORD FUNDS located in Sellersville, Pennsylvania and HARTFORD FUNDS DISTRIBUTORS, LLC located in Wayne, Pennsylvania.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. William has worked at 7 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) - RIA
Click below to view William Edward Pauley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2015 - Present
HARTFORD FUNDS
July 19, 2013 - Present
HARTFORD FUNDS DISTRIBUTORS, LLC
Office #1: 690 Lee Road, Wayne, PA 19087April 1, 2014 - December 31, 2014
HARTFORD FUNDS
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
Primary Firm SEC Registration
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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(7/19/2013)
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Exams
FINRA
Current Firm
HARTFORD FUNDS
CRD#: 147746 / SEC#: 801-77209
Contact information
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 94 |
| AUM (Assets Under Management) | $ 137,847,211,395 |
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.
