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WC

William Coughlin

ALPHA CAPITAL FAMILY OFFICE
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 5799575
WC

Professional summary

William Coughlin, who also goes by William Anthony Coughlin, William Coughlin IV, William A Coughlin, William Anthony Coughlin Iv, William Anthony Coughlin Iv Iv, is a registered financial advisor currently at ALPHA CAPITAL FAMILY OFFICE, LLC located in Greenwood Village, Colorado.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. William has worked at 6 firms and has passed the Series 65, Series 63, Series 31, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

William Anthony Coughlin | William Coughlin Iv | William A Coughlin | William Anthony Coughlin Iv | William Anthony Coughlin Iv Iv

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.
BOARD DIRECTOR. ABLELIGHT FOUNDATION. NOT FOR PROFIT. PROVIDES FIDUCIARY GUIDANCE. DOES NOT RECEIVE COMPENSATION. TIME SPENT = 5 HOURS/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Coughlin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 24, 2024 - Present

ALPHA CAPITAL FAMILY OFFICE, LLC

Office #1: 5750 S. Ulster Circle East Suite 300, Greenwood Village, CO 80111
RIA
CRD#: 307521
GREENWOOD VILLAGE, CO
Past

January 4, 2022 - June 30, 2010

CITI PRIVATE ALTERNATIVES, LLC

RIA
CRD#: 153777
Denver, CO
Past

January 4, 2022 - July 17, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
DENVER, CO
Past

December 23, 2021 - July 17, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
DENVER, CO
Past

December 23, 2021 - July 17, 2024

CITI PRIVATE ALTERNATIVES, LLC

BD
CRD#: 153777
Denver, CO
Past

January 12, 2018 - December 15, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
Dallas, TX
Past

February 29, 2016 - October 7, 2016

NEXBANK SECURITIES INC

BD
CRD#: 133267
DALLAS, TX
Past

July 20, 2015 - May 25, 2017

NEXPOINT SECURITIES, INC.

BD
CRD#: 165013
DALLAS, TX
Past

October 7, 2013 - July 15, 2015

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SALT LAKE CITY, UT

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".
AC
ALPHA CAPITAL FAMILY OFFICE, LLC
AC FAMILY OFFICE | ALPHA CAPITAL FAMILY OFFICE, LLC

CRD#: 307521 / SEC#: 801-118157

RIA
Registered Investment Advisory firm - (2/28/2020 Approved)

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.

Highlighted states indicate IAR registrations

IAR
Colorado
(7/24/2024)
IAR
Texas
(7/24/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/4/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/27/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 11/17/2022
Futures Managed Funds Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/9/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/6/2013
General Securities Representative Examination

Current Firm

AC
ALPHA CAPITAL FAMILY OFFICE, LLC
AC FAMILY OFFICE | ALPHA CAPITAL FAMILY OFFICE, LLC

CRD#: 307521 / SEC#: 801-118157

RIA
Registered Investment Advisory firm - (2/28/2020 Approved)
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Contact information

Main Address
5750 S. Ulster Circle East Suite 300, Greenwood Village, CO 80111
Mailing Address
Phone number
(303) 900-1911
Established
Firm type
Fiscal year end
# of Employees
12

SEC notice filing (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WRAP BROCHURE (3/19/2025)
PART 2A BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts448
AUM (Assets Under Management)$ 217,402,322

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.

Company Information

ALPHA CAPITAL FAMILY OFFICE, LLC

CRD#: 307521Greenwood Village, CO 80111

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