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WM

William C. Mcgourthy

DRW EXECUTION SERVICES
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 7471281
WM

Professional summary

William Colladay Mcgourthy is a registered financial professional currently at DRW EXECUTION SERVICES, LLC located in Chicago, Illinois.

William is registered as a RR (Registered Representative) and started their career in finance in 2023. William has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Colladay Mcgourthy's 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

January 1, 2023 - Present

DRW EXECUTION SERVICES, LLC

Office #1: 540 W. Madison St. Suite 2500, Chicago, IL 60661
BD
CRD#: 290408
Chicago, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2022
Securities Industry Essentials Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

DE
DRW EXECUTION SERVICES, LLC
DRW EXECUTION SERVICES, LLC

CRD#: 290408 / SEC#: , 8-70030

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
540 W. Madison St. Suite 2500, Chicago, IL 60661
Mailing Address
540 W. Madison St. Suite 2500, Chicago, IL 60661
Phone number
(312) 542-1000
Established
Delaware since 07/28/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DRW HOLDINGS, LLCMEMBER
ARMOUR II, ROBERT WILLIAMCCO4447215
CALDWELL, CHRISTOPHER ROBERTDIRECTOR OF BROKER DEALER COMPLIANCE4182335
CALIXTO, CHRIZITACHIEF FINANCIAL OFFICER6564070
FOWLER, SCOTT ALANFINOP, PFO3004363
GARCHIK, ADAM TODDCEO2967638

Disclosures

Regulatory Event1

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

DRW EXECUTION SERVICES, LLC

CRD#: 290408Chicago, IL 60661

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