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Frederick W. Prelle

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 367289
FP

Professional summary

Frederick Wallace Prelle Jr, who also goes by Frederick Wallace Prelle Jr, Frederick Wallace Prelle, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Frederick is registered as a RR (Registered Representative) and started their career in finance in 1971. Frederick has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Frederick Wallace Prelle Jr | Frederick Wallace Prelle

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) PRELLE FINANCIAL GROUP - 1/1/1997 - 4848 LOOP CENTRAL DRIVE, SUITE 1005, HOUSTON, TX 77081 - DIRECTOR, GENERAL AGENT FOR LIFE INS SALES, WHOLESALER, INVT REL, 5 HRS/MO; 5 HRS/MO (DURING TRADING HOURS). 2) ADVISORS FINANCIAL GROUP - 7/1/1997 - 4848 LOOP CENTRAL DRIVE, SUITE 1005, HOUSTON, TX 77081 - FORMER OWNER, OFFERING ACCIDENT AND HEALTH INSURANCE, DISABILITY INSURANCE, FIXED ANNUITIES, INDEXED ANNUITIES, LIFE SETTLEMENTS, AND TRADITIONAL LIFE INSURANCE, INCLUDING PREMIUM FINANCING., LINCOLN AGENCY, INVT REL, 5 HRS/MO; 20 HRS/MO (DURING TRADING HOURS). 3) CAPITAS FINANCIAL OF HOUSTON, INC - 6/1/2001 - 4848 LOOP CENTRAL DRIVE, SUITE 1005, HOUSTON, TX 77081 - WHOLESALER, OFFERING ACCIDENT AND HEALTH, DISABILITY, FIXED ANNUITIES, INDEXED ANNUITIES, LIFE SETTLEMENTS, AND TRADITIONAL LIFE INSURANCE, INCLUDING PREMIUM FINANCING., LIFE INSURANCE BROKERAGE, NOT INVT REL, 5 HRS/MO; 5 HRS/MO (DURING TRADING HOURS). 4) FRED PRELLE/RUM WITH A VIEW CHARTERS, HOUSTON, TX CATEGORY: SERVICE INDUSTRY INVESTMENT RELATED: NO TITLE: OWNER DUTIES: COLLECT BOAT RENTAL INCOME START DATE: 1/2023 HOURS PER MONTH: 2 HOURS PER MONTH DURING TRADING HOURS: 1

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Frederick Wallace Prelle Jr'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

January 3, 2000 - Present

THE LEADERS GROUP, INC.

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

January 24, 2025 - February 10, 2025

OSAIC WEALTH, INC.

RIA
CRD#: 23131
HOUSTON, TX
Past

January 24, 2025 - February 10, 2025

OSAIC WEALTH, INC.

BD
CRD#: 23131
HOUSTON, TX
Past

June 20, 2000 - July 28, 2006

INDEPENDENT ADVISERS GROUP CORP

RIA
CRD#: 106684
HOUSTON, TX
Past

September 2, 1997 - January 24, 2025

OSAIC FS, INC.

RIA
CRD#: 3870
HOUSTON, TX
Past

September 2, 1997 - January 24, 2025

OSAIC FS, INC.

BD
CRD#: 3870
HOUSTON, TX
Past

September 26, 1991 - August 29, 1997

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

March 16, 1982 - October 4, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

BD
CRD#: 4882
Past

March 3, 1971 - January 31, 1982

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145

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
Texas
(1/3/2000)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 2/25/1971
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/29/1995
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)
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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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