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DS

Douglas F. Salerno

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CRD#: 2735873
DS

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.

Douglas Francis Salerno, who also goes by Douglas F Salerno, was a registered financial professional .

Douglas is a previously registered financial professional and started their career in finance in 2003. Douglas had worked at 13 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Douglas F Salerno

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®
None

Experience

Past

June 15, 2018 - December 31, 2018

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

December 17, 2012 - June 28, 2016

FBN SECURITIES, INC.

BD
CRD#: 18315
NY, NY
Past

September 4, 2012 - October 11, 2012

LINKBROKERS DERIVATIVES LLC

BD
CRD#: 123000
NEW YORK, NY
Past

January 3, 2011 - August 23, 2012

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

September 25, 2007 - November 17, 2010

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

August 23, 2007 - September 4, 2007

DASH FINANCIAL TECHNOLOGIES LLC

BD
CRD#: 104031
NEW YORK, NY
Past

May 4, 2007 - August 20, 2007

ON POINT EXECUTIONS, LLC

BD
CRD#: 132390
NEW YORK, NY
Past

March 8, 2007 - May 2, 2007

CELADON FINANCIAL GROUP LLC

BD
CRD#: 36538
MORRISTOWN, NJ
Past

January 14, 2005 - May 8, 2007

GERONIMO LLC

BD
CRD#: 111357
NEW YORK, NY
Past

June 3, 2004 - January 14, 2005

GLOBAL OPTIONS LLC

BD
CRD#: 111626
SEA BRIGHT, NJ
Past

March 25, 2004 - June 1, 2004

JANE STREET SPECIALISTS, LLC

BD
CRD#: 118232
NEW YORK, NY
Past

March 25, 2004 - June 1, 2004

JANE STREET TRADING, LLC

BD
CRD#: 103790
NEW YORK, NY
Past

October 24, 2003 - June 1, 2004

JANE STREET CAPITAL, LLC

BD
CRD#: 103782
NEW YORK, NY
Past

September 26, 2003 - January 22, 2004

JANE STREET SPECIALISTS, LLC

BD
CRD#: 118232
NEW YORK, NY
Past

September 26, 2003 - January 22, 2004

JANE STREET TRADING, LLC

BD
CRD#: 103790
NEW YORK, NY

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: 3/2/2007
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: 6/2/2003
General Securities 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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