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William N Locke

THE Leaders Group, Inc.

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About William N Locke

William Locke is a financial advisor with The Leaders Group, Inc. William is registered in Massachusetts and Rhode Island and holds Series 7TO, Series 63, and SIE licenses. William has been in the industry since December 2019.

Firm Information

William Locke 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 Locke’s Registration & Firm History

CO

12/17/2019 - Present

THE Leaders Group, Inc. (LITTLETON CO)

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Licenses & Designations

BC

Issued 01/31/2020

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/17/2019

Series 7TO - General Securities Representative Examination

BC

Issued 07/11/2019

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William N Locke.
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