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FS

Francis W. Seneco

THE LEADERS GROUP
SUMMIT, NJ 07901
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CRD#: 2028425
FS
Francis William SenecoTHE LEADERS GROUP

Professional summary

Francis William Seneco, who also goes by Frank William Seneco, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Francis is registered as a RR (Registered Representative) and started their career in finance in 1990. Francis has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Aliases

Frank William Seneco

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 Francis William Seneco'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

July 15, 2026 - Present

THE LEADERS GROUP, INC.

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

June 3, 2019 - July 16, 2026

OBERLIN FINANCIAL INTERNATIONAL, LLC

BD
CRD#: 294205
BRYAN, OH
Past

April 10, 2015 - December 18, 2017

WORLD EQUITY GROUP, INC.

RIA
CRD#: 29087
NEW HAVEN, CT
Past

June 10, 2010 - June 28, 2019

WORLD EQUITY GROUP, INC.

BD
CRD#: 29087
NEW HAVEN, CT
Past

November 15, 2007 - June 13, 2008

BENEFIT FUNDING SERVICES, LLC

BD
CRD#: 44079
IRVINE, CA
Past

December 9, 2004 - December 12, 2005

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

August 1, 2003 - September 3, 2004

WALNUT STREET SECURITIES, INC.

RIA
CRD#: 15840
HAMDEN, CT
Past

August 1, 2003 - September 3, 2004

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

October 24, 2001 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

August 15, 2000 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

RIA
CRD#: 8503
NORTH HAVEN, CT
Past

July 12, 2000 - October 16, 2001

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

July 8, 2000 - July 12, 2000

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

April 25, 1997 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

October 2, 1994 - December 31, 1995

POLARIS FINANCIAL SERVICES, INC.

BD
CRD#: 14521
CONCORD, NH
Past

March 3, 1993 - August 9, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 6, 1991 - February 17, 1993

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

April 17, 1990 - October 17, 1991

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

April 17, 1990 - October 17, 1991

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
Alaska
(7/15/2026)
RR
California
(7/15/2026)
RR
Connecticut
(7/15/2026)
RR
Delaware
(7/17/2026)
RR
New York
(7/15/2026)
RR
South Dakota
(7/15/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/17/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/1997
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: 4/16/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/10/2000
Investment Company Products/Variable Contracts Principal 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)

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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