Thomas J. Leder

PENTEGRA DISTRIBUTORS

Shelton, CT 06484

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CRD#: 2932357

Professional summary

Thomas Jon Leder, who also goes by Tom Leder, is a registered financial professional currently at PENTEGRA DISTRIBUTORS INC. located in Shelton, Connecticut.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Leder

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 Jon Leder's 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 9, 2009 - Present

PENTEGRA DISTRIBUTORS INC.

Office #1: 2 Enterprise Drive Suite 408, Shelton, CT 06484

CRD#: 26249

Shelton, CT

Past

August 27, 2002 - February 15, 2006

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

November 2, 1998 - August 30, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 16, 1997 - August 11, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

October 16, 1997 - August 11, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(6/28/2012)

Connecticut
(6/28/2012)

Iowa
(6/28/2012)

Kansas
(6/28/2012)

Massachusetts
(6/28/2012)

Missouri
(6/28/2012)

Montana
(5/26/2015)

Nebraska
(6/28/2012)

New Hampshire
(6/28/2012)

New York
(8/26/2010)

Rhode Island
(6/28/2012)

Texas
(6/28/2012)

Exams

State Security Law Exam

Series 63

Date: 8/24/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/6/2009

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 10/15/1997

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PENTEGRA DISTRIBUTORS INC.

PENTEGRA DISTRIBUTORS INC. | RETIREMENT SYSTEM DISTRIBUTORS INC.

CRD#: 26249 / SEC#: , 8-42445

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

701 Westchester Avenue Suite 320e, White Plains, NY 10604

Mailing Address

701 Westchester Avenue Suite 320e, White Plains, NY 10604

Phone number

(914) 821-9554

Established

Delaware since 05/25/1989

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PENTEGRA SERVICES INC.	PARENT COMPANY
ERNST, LARS GERHARD	DIRECTOR, VP AND CCO	5197938
FINNEGAN, KEVIN O	DIRECTOR
WIETSMA, ERIC HANS	DIRECTOR AND PRESIDENT	3167584

Disclosures

Regulatory Event

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.

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Thomas J. Leder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Jon Leder's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADP BROKER-DEALER, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/24/2010

SIE

Date: 10/1/2018

Series 6

Date: 11/6/2009

Series 7

Date: 10/15/1997

FINRA

Current Firm

PENTEGRA DISTRIBUTORS INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PENTEGRA DISTRIBUTORS INC.

TRUST BUT VERIFY

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