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DL

Donald C. Lutterman

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1090128
DL

Professional summary

Donald Curtis Lutterman, who also goes by Don Lutterman, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1983. Donald has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Lutterman

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Donald Curtis Lutterman's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 5, 2018 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
Summit, NJ
Past

November 14, 2014 - June 4, 2018

SECURITIES AMERICA, INC.

BD
CRD#: 10205
OMAHA, NE
Past

February 16, 2010 - November 14, 2014

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
OMAHA, NE
Past

February 20, 2008 - February 11, 2010

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
OMAHA, NE
Past

September 15, 2006 - February 20, 2008

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
OMAHA, NE
Past

November 18, 1997 - October 3, 2006

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
OMAHA, NE
Past

July 6, 1995 - November 15, 1997

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

September 25, 1992 - April 26, 1995

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
LOS ANGELES, CA
Past

June 4, 1984 - May 4, 1987

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
Past

February 4, 1983 - July 18, 1983

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/2/2020)
RR
Colorado
(3/2/2020)
RR
Illinois
(6/5/2018)
RR
Iowa
(6/5/2018)
RR
Kansas
(6/5/2018)
RR
Kentucky
(11/24/2020)
RR
Missouri
(6/5/2018)
RR
Nebraska
(6/5/2018)
RR
North Carolina
(7/8/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/22/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/22/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/13/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/18/1993
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TL
THE LEADERS GROUP, INC.
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
475 Springfield Ave, Summit, NJ 07901
Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901
Phone number
(303) 797-9080
Established
Delaware since 07/14/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.SHAREHOLDER
PETERS, ROBERT WILLIAMFINOP1704577
RILEY, ZORAH JANECHIEF COMPLIANCE OFFICER3015509
WICKERSHAM, SEAN DAVIDPRESIDENT4994630

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

THE LEADERS GROUP, INC.

CRD#: 37157Summit, NJ 07901

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