William Mcfadden
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Mcfadden was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1972. William had worked at 18 firms and has passed the Series 63, Series 5, Series 7, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 21, 2002 - April 8, 2002
AMERIPRISE ADVISOR SERVICES, INC.
April 18, 2000 - December 31, 2001
HARRISDIRECT LLC
March 7, 2000 - March 29, 2000
CITICORP INVESTMENT SERVICES
April 20, 1999 - February 25, 2000
HARRISDIRECT LLC
April 8, 1997 - March 30, 1999
DIAMOND HILL SECURITIES, INC.
February 22, 1994 - March 6, 1997
BNY MELLON SECURITIES CORPORATION
May 18, 1992 - February 15, 1994
RICKEL & ASSOCIATES, INC.
March 30, 1990 - April 27, 1992
FIDELITY BROKERAGE SERVICES LLC
October 1, 1987 - April 5, 1988
PAMCO SECURITIES AND INSURANCE SERVICES
April 9, 1985 - March 25, 1988
LAWRENCE, RAGER & CO., INC.
December 20, 1983 - June 1, 1984
LEHMAN BROTHERS INC.
March 8, 1983 - December 20, 1983
RICHARDSON GREENSHIELDS SECURITIES INC.
September 8, 1982 - March 16, 1983
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1981 - August 18, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 1979 - June 22, 1981
MORGAN STANLEY DW INC.
December 1, 1978 - September 26, 1979
RYAN BECK & CO.
March 18, 1976 - October 12, 1977
O'NEILL & FELDMAN, INC.
December 6, 1972 - November 25, 1973
CHRISTIAN-PAINE & CO., INC
May 18, 1972 - January 20, 1973
CARLTON CAMBRIDGE & CO 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
Exams
Series 5
Date: 10/13/1983
Interest Rate Options ExaminationSeries 1
Date: 5/15/1972
Registered Representative ExaminationSeries 8
Date: 6/13/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
