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JO

Jeffrey L. Otterstein

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 2837390
JO

Professional summary

Jeffrey Louis Otterstein, who also goes by Jeff Otterstein, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1997. Jeffrey has worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Otterstein

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 Jeffrey Louis Otterstein'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

May 12, 2026 - Present

THE LEADERS GROUP, INC.

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

May 20, 2022 - May 1, 2026

LPL FINANCIAL LLC

RIA
CRD#: 6413
SANBORN, NY
Past

May 20, 2022 - May 1, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

November 23, 2021 - May 6, 2022

TLG ADVISORS, INC.

RIA
CRD#: 111052
Boise, ID
Past

November 22, 2021 - May 6, 2022

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

September 10, 2018 - August 2, 2021

LPL FINANCIAL LLC

RIA
CRD#: 6413
AMHERST, NY
Past

September 10, 2018 - August 2, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
AMHERST, NY
Past

March 1, 2017 - February 21, 2018

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
AMHERST, NY
Past

March 31, 2014 - February 1, 2017

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
LATHAM, NY
Past

June 24, 2013 - February 1, 2017

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
LATHAM, NY
Past

January 18, 2011 - March 11, 2013

WESTMORELAND CAPITAL CORPORATION

BD
CRD#: 11469
FORT WORTH, TX
Past

August 14, 2009 - August 23, 2010

SECURITIES AMERICA, INC.

BD
CRD#: 10205
AMHERST, NY
Past

February 1, 2008 - August 7, 2009

HSBC SECURITIES (USA) INC.

RIA
CRD#: 19585
AMHERST, NY
Past

February 1, 2008 - August 7, 2009

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
AMHERST, NY
Past

December 11, 2007 - January 25, 2008

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

February 4, 1999 - October 25, 2000

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
CONSHOHOCKEN, PA
Past

January 7, 1997 - May 11, 1998

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, 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
New York
(5/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/6/1997
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)

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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