William A. Meredith

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CRD#: 2493663

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 A Meredith, who also goes by Bill Meredith, Will Meredith, William Arnold Meredith, William Meredith, was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1994. William had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bill Meredith | Will Meredith | William Arnold Meredith | William Meredith

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 7, 2020 - May 7, 2024

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

December 11, 2019 - February 24, 2020

LPL FINANCIAL LLC

CRD#: 6413

SCOTTSDALE, AZ

Past

May 18, 2017 - December 31, 2018

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OVERLAND PARK, KS

Past

July 20, 2016 - August 30, 2016

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

OVERLAND PARK, KS

Past

September 2, 2009 - June 21, 2016

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

OVERLAND PARK, KS

Past

January 29, 2003 - July 2, 2008

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

Past

July 2, 2001 - December 31, 2002

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

October 27, 2000 - November 5, 2001

SLD AMERICA EQUITIES, INC.

CRD#: 36259

WEST CHESTER, PA

Past

November 29, 1996 - December 31, 1998

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

November 28, 1994 - July 10, 1996

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

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

State Security Law Exam

Series 63

Date: 8/18/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/25/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

475 Springfield Ave, Summit, NJ 07901

Mailing Address

475 Springfield Ave Suite 1, Summit, NJ 07901

Phone number

(303) 797-9080

Established

Delaware since 07/14/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

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 A. Meredith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

HORNOR, TOWNSEND & KENT, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

SLD AMERICA EQUITIES, INC.

CETERA ADVISORS LLC

SLD AMERICA EQUITIES, INC.

PRINCIPAL SECURITIES, INC.

OSAIC FS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/18/1994

SIE

Date: 10/1/2018

Series 6

Date: 11/25/1994

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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