William D. Fleno
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 Daniel Fleno, who also goes by William D Fleno, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1981. William had worked at 5 firms and has passed the Series 63, Series 7, Series 6, Series 52 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2004 - August 18, 2004
TD WEALTH MANAGEMENT SERVICES INC.
March 3, 1992 - July 9, 2002
GOLDEN HARRIS CAPITAL GROUP, INC.
April 18, 1989 - May 25, 1990
GMS GROUP
April 9, 1985 - May 1, 1989
J. B. HANAUER & CO.
September 2, 1982 - April 17, 1985
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1981 - August 24, 1982
J. B. HANAUER & CO.
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
TD WEALTH MANAGEMENT SERVICES INC.
CRD#: 6940 / SEC#: , 8-26318
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD BANK N.A. | OWNER | |
| DALEY, MARVIN | PRESIDENT / CHAIRMAN | 5609291 |
| KELM, CHRISTOPHER THOMAS | CHIEF OPERATIONS OFFICER | 1694572 |
| REILLY, JAMES, E | SECRETARY | |
| RUBINSOHN, MARC ALAN | FINOP/CFO/DIRECTOR | 4861057 |
| RYAN, GEOFF | ASSISTANT SECRETARY | |
| SANKOVIC, RUDY J | DIRECTOR | 5702802 |
| SPINELLI, RAYMOND THOMAS JR | SVP - HEAD OF SALES | 1676130 |
| STICKNEY, TIMOTHY LARRY | CHIEF COMPLIANCE OFFICER | 1340004 |
| WHALEN, MICHELE MARIE | DIRECTOR | 1682225 |
| WHITEHEAD, PAUL C | DIRECTOR | 5702803 |
| WHYTE, KEVIN J | DIRECTOR | 5702806 |
Disclosures
| Regulatory Event | 8 |
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.
