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AJ

Alexander R. Jordan

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1262663
AJ

Professional summary

Alexander Ranlett Jordan, who also goes by Sandy Jordan, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 1984. Alexander has worked at 15 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sandy Jordan

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 Alexander Ranlett Jordan'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, 2018 - Present

THE LEADERS GROUP, INC.

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

November 16, 2016 - February 13, 2017

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
WARRENTON, VA
Past

July 16, 2013 - March 8, 2016

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

August 28, 2012 - July 2, 2013

SANDERS MORRIS LLC

BD
CRD#: 20580
FAIRFAX, VA
Past

August 22, 2012 - July 2, 2013

EDELMAN FINANCIAL SERVICES, LLC

RIA
CRD#: 113299
FAIRFAX, VA
Past

September 19, 2011 - June 19, 2012

UNITED BROKERAGE SERVICES, INC

RIA
CRD#: 39062
FAIRFAX, VA
Past

May 16, 2011 - June 19, 2012

UNITED BROKERAGE SERVICES, INC

BD
CRD#: 39062
FAIRFAX, VA
Past

May 12, 2006 - May 16, 2011

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
GLEN ALLEN, VA
Past

January 12, 2006 - April 24, 2006

WESBANCO SECURITIES, INC.

BD
CRD#: 43276
ST CLAIRSVILLE, OH
Past

February 10, 2000 - January 3, 2006

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

May 8, 1998 - February 9, 2000

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
COLUMBUS, OH
Past

January 27, 1998 - March 17, 1998

CRESTAR SECURITIES CORPORATION

BD
CRD#: 17464
RICHMOND, VA
Past

April 21, 1995 - January 9, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 24, 1990 - March 19, 1991

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

August 3, 1987 - June 30, 1988

DAVENPORT & COMPANY LLC

BD
CRD#: 1588
Past

May 21, 1985 - August 8, 1987

JOHNSTON, LEMON & CO. INCORPORATED

BD
CRD#: 473
Past

December 18, 1984 - May 24, 1985

GIT INVESTMENT SERVICES, INC.

BD
CRD#: 13818

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
Virginia
(1/3/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/17/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/15/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/11/1995
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 31
Date: 5/11/1995
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/20/1995
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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