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JP

Juliet A. Pinkerton

Some features on this profile are disabled
CRD#: 1771904
JP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Juliet Ann Pinkerton, who also goes by Julie Ann Musgrove, Juliet Ann Musgrove, Julie Ann Pinkerton, was a registered financial professional .

Juliet is a previously registered financial professional and started their career in finance in 1988. Juliet had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Ann Musgrove | Juliet Ann Musgrove | Julie Ann Pinkerton

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 29, 2021 - December 31, 2022

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 15, 2019 - June 14, 2019

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
Nashville, TN
Past

January 11, 2019 - June 14, 2019

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
Franklin, TN
Past

July 27, 2018 - October 29, 2019

EVOZEN WEALTH, LLC

RIA
CRD#: 297960
NASHVILLE, TN
Past

January 4, 2005 - January 27, 2017

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
ALISO VIEJO, CA
Past

April 24, 2002 - December 31, 2004

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

July 17, 1998 - March 28, 2002

PACIFIC SELECT DISTRIBUTORS, LLC

BD
CRD#: 4452
NEWPORT BEACH, CA
Past

January 2, 1998 - June 29, 1998

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

January 3, 1997 - January 2, 1998

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

March 2, 1992 - December 31, 1996

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
LOS ANGELES, CA
Past

March 14, 1988 - February 10, 1992

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 14, 1988 - February 10, 1992

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/27/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/10/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/8/2004
General Securities Principal Examination

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#: 37157

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