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TM

Thomas J. Moore

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 2730569
TM

Professional summary

Thomas Jerome Moore, who also goes by Thomas J Moore, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1996. Thomas has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas J Moore

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 Thomas Jerome Moore'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

November 11, 2019 - Present

THE LEADERS GROUP, INC.

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

November 20, 2014 - December 31, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
OVERLAND PARK, KS
Past

September 16, 1997 - October 3, 2013

NEW ENGLAND SECURITIES

RIA
CRD#: 615
OVERLAND PARK, KS
Past

May 3, 1996 - October 3, 2013

NEW ENGLAND SECURITIES

BD
CRD#: 615
OVERLAND PARK, KS

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
California
(8/3/2023)
RR
Colorado
(5/18/2023)
RR
Kansas
(11/13/2019)
RR
Missouri
(11/13/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 5/3/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/2/1996
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#: 37157Summit, NJ 07901

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