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CL

Clayton R. Lund

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1261772
CL

Professional summary

Clayton Robert Lund, who also goes by Clay Lund, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Clayton is registered as a RR (Registered Representative) and started their career in finance in 1984. Clayton has worked at 15 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 52 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clay Lund

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 Clayton Robert Lund'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

January 3, 2022 - Present

THE LEADERS GROUP, INC.

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

May 7, 2019 - December 31, 2021

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
HOUSTON, TX
Past

April 20, 2015 - March 12, 2019

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
HOUSTON, TX
Past

May 20, 2014 - February 18, 2015

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 3, 2013 - May 23, 2014

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 17, 2004 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
IRVING, TX
Past

January 9, 2003 - November 12, 2004

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
LINCOLN, NE
Past

July 1, 2002 - December 11, 2002

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
WESTLAKE VILLAGE, CA
Past

November 13, 1998 - November 12, 1999

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 13, 1998 - November 12, 1999

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

October 10, 1997 - August 5, 1998

GRIFFIN FINANCIAL SERVICES

BD
CRD#: 10823
Past

November 8, 1991 - October 8, 1997

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

May 2, 1989 - November 7, 1991

GENEVA SECURITIES,INC.

BD
CRD#: 16178
SCHAUMBURG, IL
Past

September 8, 1987 - May 8, 1989

CRONIN & CO., INC.

BD
CRD#: 6996
Past

December 3, 1986 - September 8, 1987

CROAKE ROBERTS, INC.

BD
CRD#: 8150
Past

May 3, 1984 - November 10, 1986

COLUMBIAN SECURITIES, INC.

BD
CRD#: 1499

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
Texas
(1/3/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/1/2002
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/4/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/29/2002
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 5/2/1984
Municipal 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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