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DC

Donald R. Carter

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1439235
DC

Professional summary

Donald Robert Carter, who also goes by Don Carter, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1986. Donald has worked at 10 firms and has passed the Series 63, SIE, Series 2, Series 22, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Don Carter

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 Donald Robert Carter'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

December 3, 2018 - Present

THE LEADERS GROUP, INC.

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

December 7, 2012 - December 31, 2018

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

September 8, 2009 - December 23, 2011

LPL FINANCIAL LLC

RIA
CRD#: 6413
SOLANA BEACH, CA
Past

September 8, 2009 - December 23, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
SOLANA BEACH, CA
Past

December 5, 2008 - September 24, 2009

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA
CRD#: 104790
BOSTON, MA
Past

December 4, 2008 - September 8, 2009

ASSOCIATED SECURITIES CORP.

RIA
CRD#: 12969
SOLANA BEACH, CA
Past

December 4, 2008 - September 8, 2009

ASSOCIATED SECURITIES CORP.

BD
CRD#: 12969
SOLANA BEACH, CA
Past

January 12, 2005 - July 19, 2007

FFR ADVISORY LLC

RIA
CRD#: 108602
SOLANA BEACH, CA
Past

January 3, 2005 - December 5, 2008

FSC SECURITIES CORPORATION

BD
CRD#: 7461
SOLANA BEACH, CA
Past

June 6, 2001 - December 31, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

June 1, 1998 - December 31, 2004

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

December 19, 1997 - December 31, 2004

OSAIC FA, INC.

RIA
CRD#: 3978
SOLANA BEACH, CA
Past

April 11, 1986 - June 1, 1998

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
California
(12/3/2018)
RR
Florida
(3/25/2019)
RR
Kansas
(3/25/2019)
RR
Oregon
(12/26/2018)
RR
South Dakota
(12/19/2018)
RR
Texas
(12/3/2018)
RR
Utah
(12/4/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1986
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 2
Date: 5/9/1996
Non-Member General Securities Examination
General Industry/Product Exam
RR
Series 22
Date: 8/20/1986
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/9/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/1/2007
Investment Company Products/Variable Contracts 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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