William J. Leonard
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 John Leonard, who also goes by William J. Leonard, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2011. William had worked at 4 firms and has passed the SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2018 - April 16, 2018
TWD SECURITIES, LLC
August 5, 2013 - June 4, 2015
INDEPENDENT FINANCIAL PARTNERS
March 19, 2012 - February 22, 2016
OSWALD FINANCIAL BROKER DEALER, INC
March 21, 2011 - July 12, 2011
LPL FINANCIAL LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TWD SECURITIES, LLC
CRD#: 143380 / SEC#: , 8-67559
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HEFFERNAN INSURANCE BROKERS | CLASS B NON VOTING MEMBER | |
| OWEN GROUP ENTERPRISES, LLC | CLASS A VOTING MEMBER | |
| ASSURED PARTNERS GREAT PLAINS, LLC | CLASS C NON VOTING MEMBER | |
| COLLINS, ELIZABETH SARAH | FINOP | 4714831 |
| CONNOR & GALLAGHER BENEFIT SERVICES, INC. | CLASS C NON VOTING MEMBER | |
| GOULD, COSMO CHARLES | MANAGER, CHIEF COMPLIANCE OFFICER | 5033874 |
| HB RETIREMENT PLANS, LLC | CLASS C NON VOTING MEMBER | |
| HILB GROUP RETIREMENT SERVICES, LLC | CLASS C NON VOTING MEMBER | |
| HOLDEN MANAGEMENT SERVICES, INC. | CLASS C NON VOTING MEMBER | |
| KELLY INVESTMENT SERVICES, LLC | CLASS C NON VOTING MEMBER | |
| MY 360 WEALTH MANAGEMENT GROUP, INC. | CLASS C NON VOTING MEMBER | |
| RETIREMENT PLAN ANALYTICS, LLC | CLASS C NON VOTING MEMBER | |
| THE JAMES B. OSWALD COMPANY | CLASS C NON VOTING MEMBER | |
| WOODRUFF-SAWYER & CO. | CLASS C NON VOTING MEMBER |
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.
