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HS

Henry D. Smith

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 2961593
HS

Professional summary

Henry David Smith, who also goes by Henry D Smith, Henry David Smith, Henry Smith, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Henry is registered as a RR (Registered Representative) and started their career in finance in 1998. Henry has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Henry D Smith | Henry David Smith | Henry Smith

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 Henry David Smith'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 31, 2024 - Present

THE LEADERS GROUP, INC.

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

July 5, 2023 - May 29, 2024

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

March 15, 2021 - July 5, 2023

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

May 22, 2017 - February 4, 2021

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

January 3, 2013 - September 30, 2016

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Liberty Township, OH
Past

April 1, 2010 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

September 1, 2009 - November 30, 2012

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
MADISON, MS
Past

July 28, 2004 - September 2, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

May 21, 2001 - April 30, 2004

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

September 13, 2000 - June 19, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

February 17, 2000 - August 29, 2000

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

February 17, 1998 - February 8, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

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
Louisiana
(5/31/2024)
RR
Mississippi
(5/31/2024)
RR
Oregon
(5/31/2024)
RR
Tennessee
(5/31/2024)
RR
Texas
(5/31/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/1998
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 6
Date: 2/13/1998
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/19/2013
Investment Company Products/Variable Contracts Principal 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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