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DD

Douglas E. Dunne

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 2161840
DD

Professional summary

Douglas E Dunne, who also goes by Douglas Dunn, Douglas Edward Dunne, Douglas Dunne, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1992. Douglas has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas Dunn | Douglas Edward Dunne | Douglas Dunne

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 Douglas E Dunne'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

September 25, 2019 - Present

THE LEADERS GROUP, INC.

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

August 12, 2016 - November 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEW YORK, NY
Past

March 29, 2016 - November 15, 2019

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEW YORK, NY
Past

July 31, 2014 - March 11, 2016

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 19, 2013 - July 8, 2014

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

June 1, 2009 - February 7, 2013

MORGAN STANLEY

BD
CRD#: 149777
PURCHASE, NY
Past

February 7, 2005 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

February 5, 1999 - January 4, 2005

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

January 12, 1999 - January 22, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
Past

January 12, 1999 - January 22, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

August 11, 1997 - January 22, 1999

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 11, 1997 - January 22, 1999

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

February 26, 1992 - February 1, 1994

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY

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
New York
(9/25/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/13/1997
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 7
Date: 8/9/1997
General Securities 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#: 37157Summit, NJ 07901

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