William T. Smythe
Professional summary
William Thomas Smythe, CFP®, who also goes by Buzz Smythe, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
William is registered as a RR (Registered Representative) and started their career in finance in 1993. William has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Thomas Smythe's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1997
Experience
March 22, 2021 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901April 11, 2011 - March 20, 2012
MML INVESTORS SERVICES, LLC
June 8, 2009 - March 20, 2012
MML INVESTORS SERVICES, LLC
December 11, 2000 - December 31, 2008
HIMCO DISTRIBUTION SERVICES COMPANY
January 6, 1999 - October 16, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 1996 - September 14, 1998
MML INVESTORS SERVICES, LLC
October 18, 1993 - March 1, 1996
G. R. PHELPS & CO., 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
(7/20/2021)
Exams
Series 6TO
Date: 3/22/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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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