John M. Moreno

THE LEADERS GROUP

SUMMIT, NJ 07901

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CRD#: 3132915

Professional summary

John Mitchell Moreno is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

John is registered as a RR (Registered Representative) and started their career in finance in 1998. John has worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1.) NEWCLEUS - 10/1/2017 - 19 W College Avenue, Suite 500, Yardley, PA 19067 - Sales, Sales, Invt Rel, IMO, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) INDEX FUND ADVISORS - 6/7/25 - 171 Lewiston Road, Grosse Pointe Farm, MI 48236 - Solicitor, Introduction to credit union clients with specific investment management needs, Invt Rel, Invt advisory services, 2/0. 3.) MY FINANCIAL COACH - 7/18/25 - 171 Lewiston Road, Grosse Pointe Farm, MI 48236 - Introductory referral, Revenue share on investments/structures placed under relationship, introduction to executives of credit unions, Not Invt Rel, 3rd Party financial planning services, 5 hrs/mo; 0 hrs/mo (during trading hours). 4.) UPDRADE - 12/1/2025 - 171 Lewiston Road, Grosse Pointe Farm, MI 48236 - Referral generation/sales, introduce firm/concept to credit unions with whom I have a relationship, Not Invt Rel, Lending fintech, 5 hrs/mo; 0 hrs/mo (during trading hours). 5.) 5K CONSULTING-CREDIT UNION STRATEGIC ADVISORY SERVICES - 4/10/2018 - 171 Lewiston Road, Grosse Pointe Farm, MI 48236 - Owner/Manager, Provide guidance & summary information to assist board with oversight of mgmt & organization, Not Invt Rel, Consulting to credit unions, 10 hrs/mo; 2 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Mitchell Moreno'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

June 5, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

February 9, 2023 - June 10, 2025

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

August 4, 2022 - June 10, 2025

ALDEN INVESTMENT GROUP

RIA

CRD#: 317077

WAYNE, PA

Past

November 6, 2017 - December 31, 2022

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

November 4, 2016 - September 20, 2017

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Grosse Pointe Farms, MI

Past

August 13, 2001 - April 29, 2016

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

Grosse Pointe Farms, MI

Past

August 25, 2000 - September 20, 2017

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

Grosse Pointe Farms, MI

Past

January 14, 2000 - July 24, 2000

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CINCINNATI, OH

Past

June 21, 1999 - January 11, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

December 10, 1998 - May 10, 1999

PAULSON INVESTMENT COMPANY LLC

CRD#: 5670

PORTLAND, OR

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

Arizona
(6/5/2025)

Delaware
(6/5/2025)

Maryland
(6/5/2025)

Massachusetts
(6/10/2025)

Michigan
(6/5/2025)

Oklahoma
(6/9/2025)

Pennsylvania
(6/9/2025)

South Dakota
(6/5/2025)

Virginia
(6/5/2025)

Washington
(6/5/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/21/2001

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/4/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/7/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 12/7/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

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

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

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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Firm Stability Insights

John M. Moreno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Mitchell Moreno's CRS (Customer Relationship Summary).

Certified licenses

Experience

J. ALDEN ASSOCIATES, INC.

ALDEN INVESTMENT GROUP

J. ALDEN ASSOCIATES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

MORGAN STANLEY DW INC.

PAULSON INVESTMENT COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2001

Series 65

Date: 7/6/1999

Series 63

Date: 12/4/1998

SIE

Date: 10/1/2018

Series 31

Date: 7/7/1999

Series 7

Date: 12/7/1998

FINRA

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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