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JL

James F. Lunny

THE LEADERS GROUP
Tequesta, FL
Some features on this profile are disabled
CRD#: 1246535
JL

Professional summary

James Francis Lunny, who also goes by James Francis Lunny, Jr James Francis Lunny, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Tequesta, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1988. James has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Francis Lunny | Jr James Francis Lunny

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 James Francis Lunny'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

December 19, 2025 - Present

THE LEADERS GROUP, INC.

BD
CRD#: 37157
Tequesta, FL
Past

February 22, 2023 - December 22, 2023

ST. BERNARD FINANCIAL SERVICES, INC.

BD
CRD#: 36956
RUSSELLVILLE, AR
Past

July 2, 2021 - March 21, 2022

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Tequesta, FL
Past

July 10, 2018 - September 5, 2019

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
West Palm Beach, FL
Past

September 19, 2016 - August 2, 2018

TAYLOR CAPITAL MANAGEMENT INC.

BD
CRD#: 43559
WOODSTOCK, GA
Past

October 5, 1994 - December 26, 2014

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

November 18, 1993 - September 14, 1994

AMERICAN TRUST SECURITIES CORPORATION

BD
CRD#: 26014
Past

May 18, 1993 - October 26, 1993

STUART, COLEMAN & CO., INC.

BD
CRD#: 8642
NEW YORK, NY
Past

December 9, 1991 - August 19, 1992

JAMES F. LUNNY & CO., INC.

BD
CRD#: 26250
Past

June 18, 1989 - August 1, 1989

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

October 19, 1988 - June 18, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518

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
Florida
(12/19/2025)
RR
New Jersey
(12/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/1988
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: 10/15/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 2/18/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
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#: 37157Tequesta, FL

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