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LW

Lacy M. Walthall

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 713269
LW

Professional summary

Lacy Mcclure Walthall III, who also goes by Lacy M Walthall III, Lacy M Walthall, Lacy Mcclure Walthall III, Lacy Mcclure Walthall, is a registered financial advisor currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Lacy is registered as a RR (Registered Representative) and started their career in finance in 1980. Lacy has worked at 7 firms and has passed the Series 63, Series 66, Series 65, SIE, Series 6, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lacy M Walthall Iii | Lacy M Walthall | Lacy Mcclure Walthall Iii | Lacy Mcclure Walthall

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 Lacy Mcclure Walthall III'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

August 4, 2023 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

October 4, 2019 - September 8, 2023

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
Raleigh, NC
Past

March 31, 2016 - October 16, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RALEIGH, NC
Past

February 14, 2008 - December 31, 2010

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC.

BD
CRD#: 35419
RALEIGH, NC
Past

March 6, 2006 - February 21, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA
CRD#: 15708
RALEIGH, NC
Past

February 2, 2006 - February 21, 2008

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
RALEIGH, NC
Past

September 16, 1998 - August 1, 2002

CPI CAPITAL

BD
CRD#: 44575
VOORHEES, NJ
Past

May 5, 1997 - September 17, 1998

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

August 4, 1980 - May 1, 1997

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

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
North Carolina
(9/8/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/24/2006
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/16/1997
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/31/2016
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 7/24/1980
Registered Representative 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#: 37157Summit, NJ 07901

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