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SS

Sanford A. Schmidt

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1163559
SS

Professional summary

Sanford Allen Schmidt, CFP®, who also goes by Sandy Schmidt, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Sanford is registered as a RR (Registered Representative) and started their career in finance in 1983. Sanford has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandy Schmidt

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 Sanford Allen Schmidt'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®
CFP®

Certified Financial Planner

Start date: 1990

Experience

Current

April 13, 2023 - Present

THE LEADERS GROUP, INC.

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

October 29, 2020 - January 4, 2021

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

November 30, 2016 - January 22, 2026

CATALYST WEALTH MANAGEMENT

RIA
CRD#: 283728
DEERFIELD, IL
Past

November 15, 2013 - December 31, 2019

TLG ADVISORS, INC.

RIA
CRD#: 111052
NORTHBROOK, IL
Past

November 15, 2013 - December 31, 2019

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

November 12, 2010 - November 6, 2013

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NORTHBROOK, IL
Past

October 31, 2008 - November 6, 2013

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NORTHBROOK, IL
Past

October 17, 2006 - November 4, 2008

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
CHICAGO, IL
Past

October 17, 2006 - November 4, 2008

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
CHICAGO, IL
Past

July 27, 2004 - October 2, 2006

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CHICAGO, IL
Past

May 15, 2000 - October 2, 2006

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
CHICAGO, IL
Past

September 8, 1997 - November 13, 2008

SCHMIDT ADVISORY SERVICES, INC.

RIA
CRD#: 114576
CHICAGO, IL
Past

June 23, 1997 - August 14, 2000

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

December 2, 1993 - June 20, 1997

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

August 8, 1983 - May 12, 1993

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/1/2010
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/3/1991
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 22
Date: 3/12/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/5/1983
Investment Company Products/Variable Contracts Representative 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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