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DB

Darius A. Bakhtiar

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 2288366
DB

Professional summary


Darius Afsheen Bakhtiar, CFP®, who also goes by Darius A Bakhtiar, Darius Afsheen Bakhtiar, Darius Afsheen Bakhitar, Darius Afsheen Eberle, Darius Eberle, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Darius is registered as a RR (Registered Representative) and started their career in finance in 1992. Darius has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Darius A Bakhtiar | Darius Afsheen Bakhtiar | Darius Afsheen Bakhitar | Darius Afsheen Eberle | Darius Eberle

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 Darius Afsheen Bakhtiar'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®
CFP®

Experience


Current

June 7, 2016 - Present

THE LEADERS GROUP, INC.

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

May 13, 2016 - July 14, 2016

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
COLUMBIA, MD
Past

May 13, 2016 - July 14, 2016

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
COLUMBIA, MD
Past

March 11, 2010 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
COLUMBIA, MD
Past

September 4, 2009 - May 13, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
COLUMBIA, MD
Past

September 18, 1995 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

BD
CRD#: 3600
COLUMBIA, MD
Past

November 11, 1993 - March 27, 1995

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

BD
CRD#: 5178
FORT WAYNE, IN
Past

November 6, 1992 - November 9, 1993

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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
Delaware
(1/3/2017)
RR
District of Columbia
(6/7/2016)
RR
Maryland
(1/3/2017)
RR
New Jersey
(1/3/2017)
RR
New York
(1/3/2017)
RR
Pennsylvania
(1/3/2017)
RR
Virginia
(6/7/2016)

Exams


State Security Law Exam
RR
Series 63
Date: 10/19/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
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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