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DB

Daniel A. Borten

THE LEADERS GROUP
Jacksonville, FL 32258
Some features on this profile are disabled
CRD#: 1907634
DB

Professional summary

Daniel Adam Borten is a registered financial professional currently at THE LEADERS GROUP, INC. located in Jacksonville, Florida.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1989. Daniel has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Daniel Adam Borten'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

May 30, 2018 - Present

THE LEADERS GROUP, INC.

Office #1: 12724 Gran Bay Pkwy, Lakeside 1, Suite 150, Jacksonville, FL 32258
BD
CRD#: 37157
Jacksonville, FL
Past

October 10, 2013 - April 2, 2018

GROVE POINT INVESTMENTS, LLC

RIA
CRD#: 1763
Gaithersburg, MD
Past

August 26, 2013 - April 2, 2018

GROVE POINT INVESTMENTS, LLC

BD
CRD#: 1763
GAITHERSBURG, MD
Past

March 31, 2010 - August 16, 2012

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

May 1, 2009 - March 31, 2010

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 17, 1997 - June 6, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

February 18, 1997 - June 6, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

August 25, 1994 - September 24, 1996

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

July 14, 1993 - July 8, 1994

SCHOENKE & ASSOCIATES SECURITIES CORPORATION

BD
CRD#: 31245
GERMANTOWN, MD
Past

October 16, 1990 - October 7, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 16, 1989 - September 17, 1990

FEDERATION FOR FINANCIAL INDEPENDENCE

BD
CRD#: 13355

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
Maryland
(5/30/2018)
RR
Virginia
(11/5/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/8/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/29/2009
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 6
Date: 4/29/2009
Investment Company Products/Variable Contracts 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#: 37157Jacksonville, FL 32258

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