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WM

William P. Maloney

THE LEADERS GROUP
Indianapolis, IN 46268
Some features on this profile are disabled
CRD#: 318214
WM

Professional summary

William Paul Maloney, who also goes by William P Maloney, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Indianapolis, Indiana.

William is registered as a RR (Registered Representative) and started their career in finance in 1969. William has worked at 10 firms and has passed the Series 63, SIE, Series 6, Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

William P Maloney

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) - BD

Click below to view William Paul Maloney'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®
None

Experience

Current

January 8, 2019 - Present

THE LEADERS GROUP, INC.

Office #1: 3388 Founders Road Suite 100, Indianapolis, IN 46268
BD
CRD#: 37157
Indianapolis, IN
Past

March 21, 2007 - December 31, 2018

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
PORTLAND, OR
Past

August 30, 2001 - December 7, 2006

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

July 23, 1999 - June 21, 2000

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL
Past

June 16, 1993 - December 31, 1994

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

December 30, 1982 - February 22, 1993

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

October 31, 1980 - January 10, 1983

BLYTH EASTMAN PAINE WEBBER INCORPORATED

BD
CRD#: 8166
Past

July 13, 1976 - November 5, 1983

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
Past

August 4, 1975 - July 7, 1976

LANCASTER LEEDS & CO., INC.

BD
CRD#: 2732
Past

December 19, 1969 - August 7, 1975

PARKER/HUNTER INCORPORATED

BD
CRD#: 480

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Indiana
(1/8/2019)
RR
Massachusetts
(1/8/2019)
RR
New York
(1/8/2019)
RR
Wyoming
(1/8/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/22/1999
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 11/26/1968
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 10/9/1972
Registered Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

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

THE LEADERS GROUP, INC.

CRD#: 37157Indianapolis, IN 46268

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