David C. Friezo

THE LEADERS GROUP

SUMMIT, NJ 07901

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CRD#: 1705729

Professional summary

David Charles Friezo is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 8 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 David Charles Friezo'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

November 15, 2024 - Present

THE LEADERS GROUP, INC.

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

CRD#: 37157

SUMMIT, NJ

Past

December 2, 2014 - November 22, 2024

LION STREET FINANCIAL, LLC

CRD#: 165828

Fort Lauderdale, FL

Past

November 14, 2012 - October 30, 2014

MANOR HOUSE CAPITAL LLC

CRD#: 140863

WESTPORT, CT

Past

June 7, 1999 - July 16, 1999

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 29, 1998 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

February 28, 1989 - April 28, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 3, 1987 - January 23, 1989

CRESVALE INTERNATIONAL, INC.

CRD#: 10813

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

Alaska
(11/15/2024)

California
(11/15/2024)

Colorado
(11/15/2024)

Connecticut
(11/15/2024)

Delaware
(11/15/2024)

Florida
(11/15/2024)

Maryland
(11/15/2024)

New Jersey
(11/15/2024)

New York
(11/15/2024)

North Carolina
(11/15/2024)

Texas
(11/15/2024)

Exams

State Security Law Exam

Series 63

Date: 4/13/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/13/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 7/22/1997

National Commodity Futures Examination

Principal/Supervisory Exam

Series 8

Date: 3/17/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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

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.

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David C. Friezo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Charles Friezo's CRS (Customer Relationship Summary).

Certified licenses

Experience

LION STREET FINANCIAL, LLC

MANOR HOUSE CAPITAL LLC

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRESVALE INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/13/2013

SIE

Date: 10/1/2018

Series 7

Date: 11/13/2012

Series 3

Date: 7/22/1997

Series 8

Date: 3/17/1998

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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