William Gaffey has been Vice President/Chief Compliance Officer of Aufman Associates since January 2014, is a control person of the firm and directly owns between 25% and 50% of it.
Aufman Associates Inc is a Sewickley, PA firm with $972M under management, 245 clients and 3 advisers in one office, as of its March 2026 filing.
- Aufman Associates IncCurrent– present · 23 yearsSewickley, PA · Adviser representative · Firm CRD 104622
Investment adviser representative registrations
William Gaffey is registered as an investment adviser representative in 14 states. The first approvals date from January 2003; the most recent is Louisiana, in May 2025.
- CaliforniaSince 6 January 2016
- FloridaSince 7 March 2016
- GeorgiaSince 1 December 2023
- LouisianaSince 2 May 2025
- MarylandSince 29 March 2024
- New HampshireSince 13 March 2019
- New JerseySince 25 March 2019
- New YorkSince 20 August 2021
- North CarolinaSince 6 January 2016
- OhioSince 6 January 2016
- PennsylvaniaSince 4 January 2003
- South CarolinaSince 13 March 2019
- TexasSince 6 January 2016
- VirginiaSince 6 January 2016
Examinations
No examinations are on William Gaffey’s record.
- Full name
- William J Gaffey
- CRD
- 4610801
- Firm
- Aufman Associates · CRD 104622
- Role
- Vice President/Chief Compliance Officer
- Office
- 2200 GEORGETOWN DRIVE, SUITE 401, Sewickley, PA 15143
- Registration
- Investment adviser registration
- In the industry since
- January 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does William Gaffey work?
William Gaffey has been Vice President/Chief Compliance Officer of Aufman Associates Inc since January 2014, and is a control person of the firm.
Is William Gaffey a financial advisor?
Yes. William Gaffey has a current investment-adviser registration in California, Florida, Georgia, Louisiana, Maryland, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Texas and Virginia, through Aufman Associates since January 2003.
How many years of experience does William Gaffey have?
William Gaffey has 23 years in the financial industry, since January 2003, across 1 adviser firm.
Where is William Gaffey based?
William Gaffey’s registered office is in Sewickley, PA.
Is William Gaffey registered with FINRA?
No. William Gaffey has no current broker registration.
How can I verify William Gaffey’s record?
Search CRD 4610801 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes William Gaffey’s full registration record.