William Joseph Flaherty Jr
Professional Summary
William Joseph Flaherty JR, who also goes by William Joseph Flaherty, was a registered financial advisor. William was a previously registered financial advisor and started their career in finance 1970 - 2011. William had worked at 6 firms and has passed the Series 6, Series 1 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
William Joseph Flaherty
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
BGS&G INVESTMENT SERVICES, INC. | CBIZ RETIREMENT PLAN SERVICES | CBIZ RETIREMENT PLAN ADVISORY SERVICES | CBIZ FINANCIAL SOLUTIONS, INC.
Contact Information
Main Address
5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131Mailing Address
5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131Phone Number
(216) 447-9000Established
Maryland since 05/14/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
19SEC notice filing (26 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
FINRA licenses (48 States and Territories)
Registered to provide investment advisory services in 26 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
11AUM (Assets Under Management)
$8,873,081Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BGS&G INVESTMENT SERVICES, INC. | CBIZ RETIREMENT PLAN SERVICES | CBIZ RETIREMENT PLAN ADVISORY SERVICES | CBIZ FINANCIAL SOLUTIONS, INC.
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 2008About the Series 6 examSeries 1 — Registered Representative Examination
Passed Dec 1968Series 00 — General Securities Principal Examination
Passed Nov 1972Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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