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Lacy Mcclure Walthall

THE Leaders Group, Inc.

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About Lacy Mcclure Walthall

Lacy Mcclure Walthall has over 30 years of experience in the financial services industry. Lacy is a registered representative of The Leaders Group, Inc. and has held past registrations with other firms including Concourse Financial Group Securities, Inc., Wells Fargo Clearing Services, LLC, Wells Fargo Insurance Services Investment Advisors, Inc., ProEquities, Inc., CPI Capital, Robert Thomas Securities, Inc, and Capital Analysts, Incorporated. Lacy holds Series 6, 7, 63, and 66 securities licenses as well as the SIE license. Lacy is registered with the state of North Carolina.

Firm Information

Lacy Walthall is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Lacy Walthall’s Registration & Firm History

CO

08/04/2023 - Present

THE Leaders Group, Inc. (LITTLETON CO)

NC

10/04/2019 - 09/08/2023

CONCOURSE FINANCIAL GROUP SECURITIES, INC. (Raleigh NC)

NC

03/31/2016 - 10/16/2019

WELLS FARGO CLEARING SERVICES, LLC (RALEIGH NC)

NC

02/14/2008 - 12/31/2010

WELLS FARGO INSURANCE SERVICES INVESTMENT ADVISORS, INC. (RALEIGH NC)

NC

02/02/2006 - 02/21/2008

PROEQUITIES, INC. (RALEIGH NC)

NJ

09/16/1998 - 08/01/2002

CPI CAPITAL (VOORHEES NJ)

FL

05/05/1997 - 09/17/1998

ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)

OH

08/04/1980 - 05/01/1997

CAPITAL ANALYSTS, INCORPORATED (CINCINNATI OH)

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Licenses & Designations

BC

Issued 04/27/2016

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 02/24/2006

Series 66 - Uniform Combined State Law Examination

IA

Issued 10/16/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/31/2016

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 02/01/2006

Series 7 - General Securities Representative Examination

BC

Issued 07/24/1980

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Lacy Mcclure Walthall. Review regulatory record here.
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