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William Manuel Waxman

THE Leaders Group, Inc.

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About William Manuel Waxman

William Waxman is a securities professional with over 30 years of experience in the financial services industry. William is currently registered with The Leaders Group, Inc. and holds the Series 7, Series 22 and Series 63 licenses, along with the SIE exam. William has prior experience with M HOLDINGS SECURITIES, INC., MUTUAL SERVICE CORPORATION, KAVANAUGH SECURITIES, INC. and KENTOR WAXMAN INVESTMENTS, INC. William is licensed in Alaska, Delaware, Missouri, South Dakota and Texas.

Firm Information

William Waxman 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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William Waxman’s Registration & Firm History

IN

05/22/2019 - Present

THE Leaders Group, Inc. (Indianapolis IN)

TX

10/03/2001 - 06/03/2019

M HOLDINGS SECURITIES, INC. (AUSTIN TX)

MA

07/01/1992 - 10/09/2001

MUTUAL SERVICE CORPORATION (BOSTON MA)

TX

12/05/1986 - 07/01/1992

KAVANAUGH SECURITIES, INC. (DALLAS TX)

NA

07/03/1985 - 12/20/1986

KENTOR WAXMAN INVESTMENTS, INC.

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Licenses & Designations

BC

Issued 04/26/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/17/1986

Series 7 - General Securities Representative Examination

BC

Issued 04/24/1985

Series 22 - Direct Participation Programs Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Manuel Waxman.
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