Nalin A. Shah

THE LEADERS GROUP

SUMMIT, NJ 07901

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CRD#: 1548619

Professional summary

Nalin Amritlal Shah is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Nalin is registered as a RR (Registered Representative) and started their career in finance in 1986. Nalin has worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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 Nalin Amritlal Shah'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

April 8, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

September 5, 2023 - September 14, 2023

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ROLLING MEADOWS, IL

Past

July 14, 2010 - December 31, 2022

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ROLLING MEADOWS, IL

Past

December 9, 2008 - July 15, 2010

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

ROLLING MEADOWS, IL

Past

November 24, 2008 - December 10, 2008

JHS CAPITAL ADVISORS, LLC

CRD#: 112097

TAMPA, FL

Past

August 5, 2002 - November 24, 2008

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

ROLLING MEADOWS, IL

Past

January 23, 1995 - July 30, 2002

RUSHMORE SECURITIES CORPORATION

CRD#: 8392

DALLAS, TX

Past

January 15, 1993 - January 30, 1995

AMERICAN CLASSIC SECURITIES, INC.

CRD#: 25399

PONTE VEDRA, FL

Past

December 8, 1986 - January 13, 1993

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

State Registrations and Notice Filings

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

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

Florida
(4/8/2025)

Illinois
(4/8/2025)

Missouri
(8/18/2025)

Wisconsin
(4/8/2025)

Exams

State Security Law Exam

Series 63

Date: 11/4/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/4/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 4/24/1995

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

Red Flags

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Nalin A. Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nalin Amritlal Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

SIGMA FINANCIAL CORPORATION

JESUP & LAMONT SECURITIES CORP

JHS CAPITAL ADVISORS, LLC

EMPIRE FINANCIAL GROUP, INC.

RUSHMORE SECURITIES CORPORATION

AMERICAN CLASSIC SECURITIES, INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/4/1986

SIE

Date: 10/1/2018

Series 6

Date: 12/4/1986

Series 26

Date: 4/24/1995

FINRA

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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