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DF

Douglas L. Flaute

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1436772
DF

Professional summary

Douglas Leo Flaute is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1985. Douglas has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 39 and Series 24 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Douglas Leo Flaute'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 30, 2018 - Present

THE LEADERS GROUP, INC.

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

September 19, 2015 - December 31, 2016

OSAIC SERVICES, INC.

BD
CRD#: 133763
PHOENIX, AZ
Past

January 4, 2013 - October 4, 2013

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 11, 2011 - January 2, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

January 29, 2010 - October 31, 2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

May 5, 2009 - December 4, 2009

MUTUAL TRUST COMPANY OF AMERICA SECURITIES

BD
CRD#: 8494
ST. PETERSBURG, FL
Past

June 26, 2008 - October 1, 2008

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
SANFORD, FL
Past

March 14, 2006 - April 16, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

April 16, 1998 - June 23, 2005

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

November 12, 1992 - March 30, 1998

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

September 18, 1991 - November 9, 1992

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

December 9, 1985 - October 10, 1989

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA

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
Florida
(10/30/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/20/1985
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/6/1985
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 1/2/2023
Direct Participation Programs Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/15/1994
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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