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WF

William J. Flaherty

Some features on this profile are disabled
CRD#: 209331
WF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Joseph Flaherty JR, who also goes by William Joseph Flaherty, was a registered financial advisor .

William is a previously registered financial advisor and started their career in finance in 1970. William had worked at 6 firms and has passed the Series 6, Series 1 and Series 00 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William Joseph Flaherty

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 21, 2004 - April 29, 2011

CBIZ FINANCIAL SOLUTIONS, INC.

RIA
CRD#: 16678
LOS ANGELES, CA
Past

December 22, 2000 - April 29, 2011

CBIZ FINANCIAL SOLUTIONS, INC.

BD
CRD#: 16678
LOS ANGELES, CA
Past

July 31, 1999 - December 13, 2000

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

January 26, 1998 - November 16, 1998

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

July 22, 1994 - December 31, 1997

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

January 26, 1970 - October 24, 1974

MULTIVEST FUNDING CORP

BD
CRD#: 1000001
Past

January 14, 1970 - December 15, 1993

SAINT ANTHONY SECURITIES, INC.

BD
CRD#: 3476
SAN JOSE, CA

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".
CF
CBIZ FINANCIAL SOLUTIONS, INC.
BGS&G INVESTMENT SERVICES, INC. | CBIZ RETIREMENT PLAN SERVICES | CBIZ RETIREMENT PLAN ADVISORY SERVICES | CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678 / SEC#: 801-56332, 8-34205

RIA
Registered Investment Advisory firm - SEC (3/18/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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 6
Date: 9/18/2008
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 12/2/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 00
Date: 11/13/1972
General Securities Principal Examination

Current Firm

CF
CBIZ FINANCIAL SOLUTIONS, INC.
BGS&G INVESTMENT SERVICES, INC. | CBIZ RETIREMENT PLAN SERVICES | CBIZ RETIREMENT PLAN ADVISORY SERVICES | CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678 / SEC#: 801-56332, 8-34205

RIA
Registered Investment Advisory firm - SEC (3/18/1999 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131
Mailing Address
5959 Rockside Woods Blvd N Suite 600, Cleveland, OH 44131
Phone number
(216) 447-9000
Established
Maryland since 05/14/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
21

SEC notice filing (26 States and Territories)

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

FINRA licenses (47 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CBIZ RETIREMENT PLAN ADVISORY SERIVCES (3/27/2025)

Direct owners and executive officers

NamePositionCRD#
CBIZ OPERATIONS INC.PARENT COMPANY
BRIDGES, EDWARD HOWARDPRINCIPAL FINANCIAL AND OPERATIONS OFFICER5087317
BROWN, CHRISTOPHER MARKCHIEF COMPLIANCE OFFICER AND EXECUTIVE REPRESENTATIVE6028654
MELLARD, NANCY MARIEDIRECTOR4335209

Regulatory assets under management

Total Number of Accounts23
AUM (Assets Under Management)$ 23,881,016

Disclosures

Regulatory Event2

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

CBIZ FINANCIAL SOLUTIONS, INC.

CRD#: 16678

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