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William Thomas Smythe

THE Leaders Group, Inc.

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About William Thomas Smythe

William Thomas Smythe is a financial advisor with over 25 years of experience in the financial services industry. William has held licenses with several firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, MML Investors Services, LLC, and Hartford Equity Sales Company Inc. William is currently registered with The Leaders Group, Inc. and holds Series 6, 7, 63, and SIE licenses. William is located in Littleton, CO, and specializes in providing investment advice to individuals and families.

Firm Information

William Smythe 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 Smythe’s Registration & Firm History

CO

03/22/2021 - Present

THE Leaders Group, Inc. (LITTLETON CO)

SC

06/08/2009 - 03/20/2012

MML INVESTORS SERVICES, LLC (COLUMBIA SC)

SC

12/11/2000 - 12/31/2008

HARTFORD EQUITY SALES COMPANY INC. (COLUMBIA SC)

NY

01/06/1999 - 10/16/2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MA

03/01/1996 - 09/14/1998

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

NA

10/18/1993 - 03/01/1996

G. R. PHELPS & CO., INC.

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Licenses & Designations

BC

Issued 07/19/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/22/2021

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/07/2019

SIE - Securities Industry Essentials Examination

BC

Issued 04/06/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/15/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Thomas Smythe.
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