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CW

Charles M. Weinstein

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1263842
CW

Professional summary

Charles Martin Weinstein, who also goes by Charles M Weinstein, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1984. Charles has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles M Weinstein

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 Charles Martin Weinstein'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 5, 2016 - Present

THE LEADERS GROUP, INC.

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

October 24, 2014 - July 24, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
MELVILLE, NY
Past

June 13, 2011 - May 6, 2013

NYLIFE SECURITIES LLC

BD
CRD#: 5167
MELVILLE, NY
Past

November 30, 2005 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
MELVILLE, NY
Past

November 30, 2005 - July 26, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
MELVILLE, NY
Past

December 12, 2002 - April 2, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

December 12, 2002 - April 2, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

January 30, 1997 - October 5, 2001

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

April 3, 1995 - January 14, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

April 3, 1995 - January 14, 1997

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

January 3, 1989 - March 16, 1995

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

May 23, 1984 - January 30, 1989

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
Past

May 23, 1984 - January 30, 1989

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627

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
New York
(4/11/2016)
RR
Washington
(5/20/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/2005
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: 7/5/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/29/2005
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 6/23/1988
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/14/2006
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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