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JW

John J. Welde

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1258666
JW

Professional summary

John Joseph Welde is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1984. John has worked at 12 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 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.
1.) TAX ADVANTAGED PLATFORM LLC - 2/14/2017 - 1011 Garfield Avenue, Havertown, PA 19083 - Principal, Sell life insurance, Not Invt Rel, Insurance business, 60 hrs/mo; 60 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Joseph Welde'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

October 16, 2023 - Present

THE LEADERS GROUP, INC.

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

November 3, 2017 - June 4, 2024

DYNAMIC INVESTMENT TECHNOLOGY LLC

RIA
CRD#: 289871
HAVERTOWN, PA
Past

January 12, 2016 - June 21, 2017

LPE SECURITIES, LLC

BD
CRD#: 117851
New York, NY
Past

June 30, 2015 - December 31, 2015

CHESTERBROOK CAPITAL

BD
CRD#: 104395
BERWYN, PA
Past

July 2, 2012 - June 28, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
NEW YORK, NY
Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
NEW YORK, NY
Past

October 6, 2008 - January 3, 2011

KNIGHT LIBERTAS LLC

BD
CRD#: 124790
NEW YORK, NY
Past

June 18, 1998 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

December 9, 1997 - April 12, 2000

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

February 7, 1997 - October 8, 1997

QUAKER SECURITIES, INC.

BD
CRD#: 27263
MALVERN, PA
Past

November 18, 1991 - January 11, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 23, 1984 - August 29, 1989

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY

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
(8/5/2024)
RR
Florida
(3/21/2024)
RR
New York
(8/4/2024)
RR
Pennsylvania
(10/17/2023)
RR
South Carolina
(3/27/2025)
RR
South Dakota
(3/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/28/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/13/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2008
General Securities 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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