William D. Gleavy

KAIZEN RETIREMENT PLAN ADVISORS

Quincy, MA

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CRD#: 2317578

Professional summary

William Daniel Gleavy, AIF® is a registered financial advisor currently at KAIZEN RETIREMENT PLAN ADVISORS, LLC located in Quincy, Massachusetts.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. William has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view William Daniel Gleavy's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 4, 2017 - Present

KAIZEN RETIREMENT PLAN ADVISORS, LLC

RIA

CRD#: 289238

Quincy, MA

Past

October 12, 2012 - January 30, 2017

TRUSTAGE INVESTMENT MANAGEMENT

RIA

CRD#: 105960

Quincy, MA

Past

February 9, 2006 - December 31, 2012

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Quincy, MA

Past

January 17, 2002 - January 30, 2017

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

DALLAS, TX

Past

January 24, 1995 - May 25, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 12, 1993 - September 26, 1994

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

KAIZEN RETIREMENT PLAN ADVISORS, LLC

CRD#: 289238 / SEC#: 801-130196

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (5/28/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(10/4/2017)

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

State Security Law Exam

IAR

Series 66

Date: 1/10/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/31/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/9/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

KAIZEN RETIREMENT PLAN ADVISORS, LLC

CRD#: 289238 / SEC#: 801-130196

RIA

Registered Investment Advisory firm - (5/10/2024 Approved)

Massachusetts

Registered Investment Advisory firm - (5/28/2024 Terminated)

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Contact information

Main Address

Quincy, MA

Mailing Address

Phone number

(508) 850-6401

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAIZEN RETIREMENT PLAN ADVISORS (2/10/2025)

Regulatory assets under management

Total Number of Accounts	25
AUM (Assets Under Management)	$ 118,441,974

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.

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Firm Stability Insights

William D. Gleavy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Daniel Gleavy's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTAGE INVESTMENT MANAGEMENT

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

KAIZEN RETIREMENT PLAN ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/10/2006

Series 63

Date: 3/31/1993

SIE

Date: 1/30/2017

Series 7

Date: 2/2/1994

Series 6

Date: 3/9/1993

Current Firm

KAIZEN RETIREMENT PLAN ADVISORS, LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAIZEN RETIREMENT PLAN ADVISORS, LLC

TRUST BUT VERIFY

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