Unclaimed
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.
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.
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.
1
2
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.
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
Active
Inactive
F
FINRA
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