William M. Waxman
Professional summary
William Manuel Waxman, who also goes by Bill Waxman, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Indianapolis, Indiana.
William is registered as a RR (Registered Representative) and started their career in finance in 1985. William has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Manuel Waxman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 22, 2019 - Present
THE LEADERS GROUP, INC.
Office #1: 3388 Founders Road Suite 100, Indianapolis, IN 46268October 3, 2001 - June 3, 2019
M HOLDINGS SECURITIES, INC.
October 3, 2001 - June 3, 2019
M HOLDINGS SECURITIES, INC.
July 1, 1992 - October 9, 2001
MUTUAL SERVICE CORPORATION
December 5, 1986 - July 1, 1992
KAVANAUGH SECURITIES, INC.
July 3, 1985 - December 20, 1986
KENTOR WAXMAN INVESTMENTS, 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
(5/22/2019)
(5/22/2019)
(5/22/2019)
(5/22/2019)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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