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MH

Michael R. Herron

Some features on this profile are disabled
CRD#: 2692410
MH

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.

Michael Robert Herron, CFP®, who also goes by Michael Robert Herron, Mike Herron, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 9 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Robert Herron | Mike Herron

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®
CFP®

Certified Financial Planner

Experience

Past

May 12, 2025 - February 6, 2026

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

August 13, 2024 - April 23, 2025

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
AUSTIN, TX
Past

September 29, 2023 - August 1, 2024

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Bellevue, WA
Past

September 30, 2015 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
Bellevue, WA
Past

December 10, 2012 - September 22, 2015

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
SEATTLE, WA
Past

October 11, 2010 - November 6, 2012

MMC SECURITIES LLC

BD
CRD#: 103846
WOODLAND HILLS, CA
Past

August 17, 2009 - November 1, 2010

INTERLINK SECURITIES CORP.

BD
CRD#: 30505
WOODLAND HILLS, CA
Past

November 12, 2007 - June 30, 2009

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
WOODLAND HILLS, CA
Past

July 20, 2004 - October 31, 2007

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

March 18, 1996 - July 22, 2004

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT

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: 6/5/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/6/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/15/1996
Investment Company Products/Variable Contracts Representative 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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