WB
William J. Boarts
FEDERATED SECURITIES
Pittsburgh, PA 15222-3779
Some features on this profile are disabled
CRD#: 1818845
WB
Professional summary
William James Boarts, who also goes by William J Boarts, is a registered financial professional currently at FEDERATED SECURITIES CORP. located in Pittsburgh, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 1988. William has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
William J Boarts
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.
CRS (Client Relationship Summary) - BD
Click below to view William James Boarts'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®
NoneExperience
Current
September 28, 2004 - Present
FEDERATED SECURITIES CORP.
Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779RIA
BD
CRD#: 5009
Pittsburgh, PA
Past
January 7, 2003 - September 9, 2004
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
PITTSBURGH, PA
Past
October 16, 2000 - January 6, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
October 16, 2000 - January 6, 2003
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
June 23, 1994 - July 20, 2000
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
June 9, 1988 - May 31, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
June 9, 1988 - May 31, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
FS
FEDERATED SECURITIES CORP.
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
RIA
Registered Investment Advisory firm - SEC (8/17/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/18/2015)
RR
Alaska(6/29/2007)
RR
Arizona(6/22/2015)
RR
Arkansas(6/22/2015)
RR
California(11/8/2006)
RR
Colorado(6/22/2015)
RR
Connecticut(11/16/2005)
RR
Delaware(11/16/2005)
RR
District of Columbia(6/22/2015)
RR
Florida(5/18/2015)
RR
Georgia(5/18/2015)
RR
Hawaii(6/22/2015)
RR
Idaho(11/8/2006)
RR
Illinois(11/16/2005)
RR
Indiana(11/16/2005)
RR
Iowa(11/16/2005)
RR
Kansas(6/22/2015)
RR
Kentucky(1/16/2009)
RR
Louisiana(6/22/2015)
RR
Maine(11/16/2005)
RR
Maryland(11/16/2005)
RR
Massachusetts(11/16/2005)
RR
Michigan(11/16/2005)
RR
Minnesota(11/16/2005)
RR
Mississippi(6/22/2015)
RR
Missouri(8/10/2009)
RR
Montana(11/8/2006)
RR
Nebraska(11/16/2005)
RR
Nevada(6/22/2015)
RR
New Hampshire(11/16/2005)
RR
New Jersey(11/16/2005)
RR
New Mexico(6/22/2015)
RR
New York(11/16/2005)
RR
North Carolina(4/3/2012)
RR
North Dakota(11/16/2005)
RR
Ohio(11/17/2005)
RR
Oklahoma(6/22/2015)
RR
Oregon(11/8/2006)
RR
Pennsylvania(9/28/2004)
RR
Puerto Rico(1/26/2006)
RR
Rhode Island(11/16/2005)
RR
South Carolina(5/18/2015)
RR
South Dakota(11/16/2005)
RR
Tennessee(6/22/2015)
RR
Texas(6/22/2015)
RR
Utah(11/8/2006)
RR
Vermont(11/16/2005)
RR
Virginia(6/22/2015)
RR
Washington(11/8/2006)
RR
West Virginia(5/2/2006)
RR
Wisconsin(11/16/2005)
RR
Wyoming(11/8/2006)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FEDERATED SECURITIES CORP.
FEDERATED SECURITIES CORP.
CRD#: 5009 / SEC#: 801-70438, 8-15561
RIA
Registered Investment Advisory firm - SEC (8/17/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Mailing Address
1001 Liberty Avenue, Pittsburgh, PA 15222-3779
Phone number
(412) 288-1900
Established
Pennsylvania since 11/14/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
300
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FII HOLDINGS, INC. | OWNER | |
| ARONSOHN, JEFF DAVIS JR | COMPLIANCE OFFICER | 5414359 |
| BURKE, BRYAN MARKHAM | EXECUTIVE VICE PRESIDENT | 2659959 |
| DONAHUE, THOMAS ROBERT | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2766434 |
| EISENBRANDT, PETER WILLIAM | EXECUTIVE VICE PRESIDENT | 1676319 |
| FAVERO, AUTUMN LYNN | ASSISTANT TREASURER, FINANCIAL OPERATIONS OFFICER AND PRINCIPAL FINANCIAL OFFICER | 7844158 |
| GERMAIN, PETER JOSEPH | DIRECTOR/VICE PRESIDENT | 4152014 |
| MOORE, KARY ANNE | SECRETARY | 5989808 |
| NOVAK, RICHARD ANTHONY | TREASURER | 2901271 |
| RONAYNE, BRIAN SEAN | EXECUTIVE VICE PRESIDENT | 2158279 |
| SENCHAK, FRANK CARL | DIRECTOR | 6683477 |
| UHLMAN, PAUL ADAM | DIRECTOR AND PRESIDENT | 2043674 |
| VAN METER, STEPHEN PAUL | CHIEF COMPLIANCE OFFICER | 6020413 |
Disclosures
| Regulatory Event | 4 |
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.
