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TR

Terry C. Robertson

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1523139
TR

Professional summary


Terry Curtis Robertson is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Terry is registered as a RR (Registered Representative) and started their career in finance in 1987. Terry has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1.) PACIFIC PEAK - 4/1/2022 - 120 N 2nd Avenue, #108, Ketchum, ID 83340 - Agent, Life sales, Invt Rel, Insurance business, 40 hrs/mo; 40 hrs/mo (during trading hours). 2.) STANDARD INSURANCE COMPANY - 1/1/1990 - 650 Town Center Drive, Suite 1650, Agent, Service policies, Not Invt Rel, Insurance business, 1 hr/mo; 1 hr/mo (during trading hours). 3.) TLG ADVISORS INC - 6/2/2022 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 10 hrs/mo; 10 hrs/mo (during trading hours).

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Terry Curtis Robertson'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

June 2, 2022 - Present

THE LEADERS GROUP, INC.

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

June 2, 2022 - November 8, 2023

TLG ADVISORS, INC.

RIA
CRD#: 111052
Aliso Viejo, CA
Past

March 25, 2017 - June 7, 2022

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
Costa Mesa, CA
Past

March 25, 2017 - June 7, 2022

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Costa Mesa, CA
Past

November 15, 2006 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
IRVINE, CA
Past

November 13, 2006 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
IRVINE, CA
Past

November 13, 2006 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
IRVINE, CA
Past

August 29, 2002 - November 30, 2006

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
NEWPORT BEACH, CA
Past

June 23, 1988 - November 30, 2006

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
NEWPORT BEACH, CA
Past

July 13, 1987 - May 23, 1988

CONSOLIDATED RESOURCES, INC.

BD
CRD#: 13747

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
(6/2/2022)
RR
Idaho
(6/2/2022)

Exams


State Security Law Exam
IAR
Series 65
Date: 6/26/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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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