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TM

Timothy U. Morton

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1206195
TM

Professional summary

Timothy Ugo Morton is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1985. Timothy has worked at 14 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 51 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Timothy Ugo Morton'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

April 21, 2021 - Present

THE LEADERS GROUP, INC.

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

September 1, 2020 - May 10, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
SAN DIEGO, CA
Past

September 1, 2020 - May 10, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA
Past

April 5, 2018 - October 5, 2020

LUCIA CAPITAL GROUP

RIA
CRD#: 152396
SAN DIEGO, CA
Past

April 5, 2018 - October 5, 2020

LUCIA SECURITIES, LLC

BD
CRD#: 37179
SAN DIEGO, CA
Past

July 28, 2016 - April 6, 2018

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
Pasadena, CA
Past

June 5, 2013 - October 10, 2014

TCFG WEALTH MANAGEMENT, LLC

BD
CRD#: 164153
LAGUNA NIGUEL, CA
Past

April 9, 2007 - April 29, 2013

WBB SECURITIES, LLC

BD
CRD#: 118440
SAN DIEGO, CA
Past

March 6, 2007 - April 9, 2007

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
SAN DIEGO, CA
Past

September 4, 2001 - April 23, 2004

JMC INVESTMENT SERVICES, INC.

BD
CRD#: 14376
BOSTON, MA
Past

September 3, 2001 - December 31, 2006

DETWILER FENTON & CO.

BD
CRD#: 1794
SAN DIEGO, CA
Past

February 2, 1995 - December 31, 2006

DETWILER FENTON WEALTH MANAGEMENT INC

BD
CRD#: 16063
SAN DIEGO, CA
Past

September 25, 1992 - September 9, 1994

PLANNERS SECURITIES NETWORK CORPORATION

BD
CRD#: 18857
GILBERT, AZ
Past

February 10, 1992 - August 6, 1992

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

February 3, 1989 - December 31, 1991

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA
Past

November 19, 1985 - July 6, 1988

LPL FINANCIAL LLC

BD
CRD#: 6413

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
(4/21/2021)
RR
Colorado
(2/5/2025)
RR
Florida
(5/19/2025)
RR
Georgia
(1/14/2025)
RR
Illinois
(5/22/2025)
RR
Minnesota
(1/3/2025)
RR
Montana
(10/16/2024)
RR
New Mexico
(10/16/2024)
RR
North Carolina
(10/16/2024)
RR
North Dakota
(10/16/2024)
RR
Utah
(10/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/9/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 3/17/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/1986
General Securities 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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