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WM

William J. Mclaren

Some features on this profile are disabled
CRD#: 329197
WM

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 Jacoby Mclaren was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1970. William had worked at 8 firms and has passed the Series 1 and Series 40 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

March 22, 1990 - October 24, 1990

STEVEN L. FALK & ASSOCIATES INC.

BD
CRD#: 14297
Past

June 12, 1989 - February 12, 1990

BEACHWOOD INVESTMENTS, INC.

BD
CRD#: 7507
Past

August 24, 1988 - May 23, 1989

CIDCO INVESTMENT SERVICES, INC.

BD
CRD#: 10769
Past

April 12, 1988 - August 22, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

April 1, 1988 - April 12, 1988

FAHNESTOCK INTERNATIONAL INC.

BD
CRD#: 279
Past

March 26, 1987 - April 1, 1988

OPPENHEIMER & CO. INC.

BD
CRD#: 249
Past

December 4, 1984 - June 24, 1987

FIRST CLEVELAND INVESTMENTS, INC.

BD
CRD#: 3928
Past

August 1, 1973 - January 3, 1985

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
Past

November 23, 1970 - August 11, 1973

BALL, BURGE & KRAUS

BD
CRD#: 71

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 1
Date: 9/15/1961
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 4/15/1968
Registered Principal Examination

Current Firm

SL
STEVEN L. FALK & ASSOCIATES INC.
STEVEN L. FALK & ASSOCIATES | STEVEN L. FALK & ASSOCIATES, INC. | STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297 / SEC#: , 8-29688

BD
Terminated by SEC on 07/17/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 11/04/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FALK, STEVEN LAWRENCEPRESIDENT, SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER1207626
FLYNN, THOMAS FRANCISFINANCIAL AND OPERATIONS PRINCIPAL210413
MCDERMOTT, DEAN PATRICKMANAGING DIRECTOR, SENIOR REGISTERED OPTIONS PRINCIPAL, COMPLIANCE REGISTERED OPTIONS PRINCIPAL1731834

Disclosures

Regulatory Event6
Arbitration1

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

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

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