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WM

William L. Maljan

TRUSTMONT FINANCIAL GROUP
Monroeville, PA 15146
Some features on this profile are disabled
CRD#: 5851365
WM

Professional summary

William Luke Maljan is a registered financial professional currently at TRUSTMONT FINANCIAL GROUP, INC. located in Monroeville, Pennsylvania.

William is registered as a RR (Registered Representative) and started their career in finance in 2010. William has worked at 2 firms and has passed the Series 63, SIE and Series 6 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) - BD

Click below to view William Luke Maljan'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

February 10, 2014 - Present

TRUSTMONT FINANCIAL GROUP, INC.

Office #1: 111 Whitehead Lane # 400, Monroeville, PA 15146
BD
CRD#: 18312
Monroeville, PA
Past

November 6, 2010 - February 10, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
JEANNETTE, PA

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
Pennsylvania
(2/10/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2011
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: 11/5/2010
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRUSTMONT FINANCIAL GROUP, INC.
THE CODRICK FINANCIAL GROUP, INC. | TRUSTMONT FINANCIAL GROUP, INC. DBA TFG | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMARK FINANCIAL GROUP, INC.

CRD#: 18312 / SEC#: , 8-36439

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601
Mailing Address
Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601
Phone number
(724) 468-5665
Established
Pennsylvania since 06/16/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 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#
DOCHINEZ, LACEY MOWNER5809867
DOCHINEZ, PETER DANIELOWNER6314091
ABBOTT DECAROLIS, LAURA JEANOWNER/REGISTERED REPRESENTATIVE1523919
DOCHINEZ, CLAUDIA ANNOWNER
DOCHINEZ, PETER DANIELOWNER1062112
GIONTA, PAUL VOWNER
HEBERT, GEORGE PHILLIPOWNER2309032
HLADEK, ANTHONY CHARLESPRESIDENT, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATION OFFICER2700432
PETRUCCI, MARY LOUISEOWNER/REGISTERED REPRESENTATIVE2980671
AULT, JAMES DANIELOWNER1439447
BARZAK, DONALD JOHNOWNER1856590
HIXENBAUGH, MARY LYNNECHIEF COMPLIANCE OFFICER5623080

Disclosures

Regulatory Event3
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312Monroeville, PA 15146

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