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RG

Robert G. Green

Some features on this profile are disabled
CRD#: 1291304
RG

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Robert Gene Green, who also goes by Robert Gene Green, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert Gene Green

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.
Insurance Sales, Referrals to tax reduction company.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 30, 2024 - January 17, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

July 6, 2021 - December 31, 2023

ROBERT GREEN & COMPANY

RIA
CRD#: 314835
GARDNERVILLE, NV
Past

October 27, 2020 - July 6, 2021

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
NAPA, CA
Past

October 23, 2020 - July 6, 2021

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
NAPA, CA
Past

November 2, 2018 - July 6, 2021

CLG LLC

RIA
CRD#: 282605
Napa, CA
Past

January 9, 2017 - November 6, 2018

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

RIA
CRD#: 151298
Napa, CA
Past

January 4, 2017 - November 16, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
NAPA, CA
Past

October 1, 2014 - January 10, 2017

WOODBURY FINANCIAL SERVICES, INC.

RIA
CRD#: 421
NAPA, CA
Past

October 1, 2014 - January 10, 2017

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
NAPA, CA
Past

May 4, 2007 - December 10, 2009

RETIREMENT CAPITAL STRATEGIES, INC.

RIA
CRD#: 139009
SAN JOSE, CA
Past

May 3, 2001 - October 15, 2014

LPL FINANCIAL LLC

RIA
CRD#: 6413
NAPA, CA
Past

April 3, 2001 - October 15, 2014

LPL FINANCIAL LLC

BD
CRD#: 6413
NAPA, CA
Past

October 16, 1984 - April 9, 2001

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 11/29/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1985
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: 9/13/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/30/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/6/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/10/2003
General Securities Principal Examination

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#: 37157

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Contact information

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