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William Paul Maloney

THE Leaders Group, Inc.

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About William Paul Maloney

William Maloney is a financial professional with over 40 years of experience in the financial services industry. William is currently registered with The Leaders Group, Inc. William holds a Series 63 license, a Series 40 license, and Series 1, Series 6, and SIE product licenses. William Maloney is registered in 19 states and is a Registered Principal.

Firm Information

William Maloney 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 Maloney’s Registration & Firm History

IN

01/08/2019 - Present

THE Leaders Group, Inc. (Indianapolis IN)

OR

03/21/2007 - 12/31/2018

M HOLDINGS SECURITIES, INC. (PORTLAND OR)

CA

08/30/2001 - 12/07/2006

TBG FINANCIAL (LOS ANGELES CA)

FL

07/23/1999 - 06/21/2000

WESTPORT FINANCIAL SERVICES, L.L.C. (JACKSONVILLE FL)

FL

06/16/1993 - 12/31/1994

RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)

NY

12/30/1982 - 02/22/1993

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NA

07/13/1976 - 11/05/1983

PAINE WEBBER MITCHELL HUTCHINS INC.

NA

10/31/1980 - 01/10/1983

BLYTH EASTMAN PAINE WEBBER INCORPORATED

NA

08/04/1975 - 07/07/1976

C. S. MCKEE & COMPANY, INCORPORATED

NA

12/19/1969 - 08/07/1975

PARKER/HUNTER INCORPORATED

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Licenses & Designations

BC

Issued 10/06/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/09/1972

Series 40 - Registered Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/22/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/26/1968

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Paul Maloney.
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