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MK

Michael P. Kelly

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1755520
MK

Professional summary

Michael Peter Kelly, who also goes by Mike Kelly, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 9, Series 10 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Kelly

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. 03/28/2019 - INC ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED / 0%/ PARAMUS, NJ 2. 01/01/1985 - LIFE POLICY PROS, INC/ NON-VARIABLE INSURANCE/ INVESTMENT RELATED/ 0%/ PARAMUS, NJ

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Peter Kelly'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

February 8, 2025 - Present

THE LEADERS GROUP, INC.

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

March 29, 2019 - July 30, 2024

LPL FINANCIAL LLC

RIA
CRD#: 6413
PARAMUS, NJ
Past

March 28, 2019 - July 30, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
PARAMUS, NJ
Past

July 31, 2018 - March 26, 2019

SPC

RIA
CRD#: 110692
Marlton, NJ
Past

July 31, 2018 - March 26, 2019

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
MARLTON, NJ
Past

September 22, 2008 - July 31, 2018

SPC

RIA
CRD#: 110692
MARLTON, NJ
Past

August 22, 2008 - July 31, 2018

PARKLAND SECURITIES, LLC

BD
CRD#: 115368
MARLTON, NJ
Past

November 30, 2007 - August 27, 2008

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
MARLTON, NJ
Past

November 9, 2006 - August 27, 2008

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
MARLTON, NJ
Past

July 26, 2005 - November 13, 2006

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
MARLTON, NJ
Past

May 15, 1991 - January 1, 2002

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

October 29, 1987 - June 30, 2005

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

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
Connecticut
(2/8/2025)
RR
New Jersey
(2/8/2025)
RR
New York
(2/8/2025)
RR
North Carolina
(2/8/2025)
RR
South Carolina
(2/8/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 2/25/1991
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 7
Date: 1/13/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/28/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/1/1999
General Securities Sales Supervisor Examination (Options Module & General Module)
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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