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TL

Thomas J. Litz

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1525952
TL

Professional summary

Thomas John Litz is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1986. Thomas has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 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 Thomas John Litz'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

January 10, 2013 - Present

THE LEADERS GROUP, INC.

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

July 29, 2010 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
SCHENECTADY, NY
Past

February 10, 2005 - July 28, 2010

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
ELMIRA, NY
Past

September 8, 1998 - October 14, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

May 14, 1996 - December 31, 1996

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

August 15, 1994 - May 17, 1996

ADVANTAGE CAPITAL CORPORATION

BD
CRD#: 146
ATLANTA, GA
Past

July 18, 1989 - August 15, 1994

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

November 7, 1986 - May 30, 1989

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

October 13, 1986 - May 30, 1989

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881

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
Alabama
(11/20/2020)
RR
Alaska
(11/20/2020)
RR
Arizona
(11/20/2020)
RR
Arkansas
(11/20/2020)
RR
California
(11/20/2020)
RR
Colorado
(11/20/2020)
RR
Connecticut
(11/20/2020)
RR
Delaware
(11/20/2020)
RR
District of Columbia
(11/20/2020)
RR
Florida
(11/20/2020)
RR
Georgia
(11/20/2020)
RR
Hawaii
(11/20/2020)
RR
Idaho
(11/20/2020)
RR
Illinois
(11/20/2020)
RR
Indiana
(11/20/2020)
RR
Iowa
(11/20/2020)
RR
Kansas
(11/20/2020)
RR
Kentucky
(11/20/2020)
RR
Louisiana
(11/20/2020)
RR
Maine
(11/20/2020)
RR
Maryland
(11/20/2020)
RR
Massachusetts
(11/20/2020)
RR
Michigan
(11/20/2020)
RR
Minnesota
(11/20/2020)
RR
Mississippi
(11/20/2020)
RR
Missouri
(11/20/2020)
RR
Montana
(11/20/2020)
RR
Nebraska
(11/20/2020)
RR
Nevada
(11/20/2020)
RR
New Hampshire
(11/20/2020)
RR
New Jersey
(11/20/2020)
RR
New Mexico
(11/20/2020)
RR
New York
(1/10/2013)
RR
North Carolina
(11/20/2020)
RR
North Dakota
(11/20/2020)
RR
Ohio
(11/20/2020)
RR
Oklahoma
(11/20/2020)
RR
Oregon
(11/20/2020)
RR
Pennsylvania
(11/20/2020)
RR
Puerto Rico
(11/20/2020)
RR
Rhode Island
(11/20/2020)
RR
South Carolina
(11/20/2020)
RR
South Dakota
(11/20/2020)
RR
Tennessee
(11/20/2020)
RR
Texas
(11/20/2020)
RR
Utah
(11/20/2020)
RR
Vermont
(11/20/2020)
RR
Virginia
(11/20/2020)
RR
Washington
(11/20/2020)
RR
West Virginia
(11/20/2020)
RR
Wisconsin
(11/20/2020)
RR
Wyoming
(11/20/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1986
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 6
Date: 10/4/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/3/2003
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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