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MT

Michael D. Thompson

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 2965521
MT

Professional summary

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

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael David Thompson

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 Michael David Thompson'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

April 29, 2026 - Present

THE LEADERS GROUP, INC.

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

October 16, 2023 - January 7, 2026

HALO SECURITIES, LLC

BD
CRD#: 279029
CHICAGO, IL
Past

September 12, 2017 - September 14, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Denver, CO
Past

September 12, 2017 - April 20, 2021

TD AMERITRADE, INC.

RIA
CRD#: 7870
Lone Tree, CO
Past

July 24, 2017 - April 20, 2021

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

January 1, 2004 - September 23, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

April 5, 2000 - January 1, 2004

TEACHERS PERSONAL INVESTORS SERVICES, INC.

BD
CRD#: 36130
NEW YORK, NY
Past

December 15, 1997 - March 15, 2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY

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
Arkansas
(5/4/2026)
RR
California
(4/30/2026)
RR
Colorado
(4/29/2026)
RR
Connecticut
(4/30/2026)
RR
Delaware
(4/30/2026)
RR
District of Columbia
(4/30/2026)
RR
Florida
(4/30/2026)
RR
Georgia
(4/30/2026)
RR
Hawaii
(4/30/2026)
RR
Idaho
(4/30/2026)
RR
Illinois
(5/1/2026)
RR
Iowa
(4/30/2026)
RR
Kansas
(4/30/2026)
RR
Kentucky
(4/30/2026)
RR
Louisiana
(4/30/2026)
RR
Maine
(4/30/2026)
RR
Massachusetts
(4/30/2026)
RR
Michigan
(5/1/2026)
RR
Minnesota
(4/30/2026)
RR
Missouri
(4/29/2026)
RR
Nebraska
(4/29/2026)
RR
Nevada
(4/30/2026)
RR
New Hampshire
(4/30/2026)
RR
New Jersey
(4/30/2026)
RR
New Mexico
(4/30/2026)
RR
North Carolina
(4/30/2026)
RR
Ohio
(4/30/2026)
RR
Pennsylvania
(4/30/2026)
RR
Rhode Island
(5/1/2026)
RR
South Dakota
(4/30/2026)
RR
Tennessee
(4/30/2026)
RR
Texas
(4/30/2026)
RR
Utah
(4/30/2026)
RR
Vermont
(4/30/2026)
RR
Virginia
(5/4/2026)
RR
Washington
(5/1/2026)
RR
West Virginia
(5/4/2026)
RR
Wyoming
(5/1/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/6/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/29/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/10/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/6/2023
General Securities 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)
PREMIUM
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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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