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DP

Daniel I. Parrish

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 1629332
DP

Professional summary

Daniel Ira Parrish, CFP®, who also goes by Dan Parrish, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1987. Daniel has worked at 7 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan Parrish

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 Daniel Ira Parrish'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®
CFP®

Certified Financial Planner

Start date: 2003

Experience

Current

June 30, 2020 - Present

THE LEADERS GROUP, INC.

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

January 6, 2020 - March 9, 2020

CAPITAL PLANNING ADVISORS LLC

RIA
CRD#: 170266
SACRAMENTO, CA
Past

January 28, 2010 - March 5, 2010

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SACRAMENTO, CA
Past

January 31, 2006 - April 30, 2007

NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY

RIA
CRD#: 109729
MILWAUKEE, WI
Past

June 7, 2000 - January 31, 2006

NETWORK PLANNING ADVISORS, L.L.C.

RIA
CRD#: 109000
SACRAMENTO, CA
Past

November 9, 1992 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

November 9, 1992 - February 1, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SACRAMENTO, CA
Past

March 19, 1987 - April 3, 1989

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
Past

March 19, 1987 - April 3, 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
California
(9/8/2020)
RR
Nevada
(11/16/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 8/10/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/30/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/27/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/3/1992
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 3/18/1987
Direct Participation Programs Representative 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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