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AF

Andrew G. Franks

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 4147421
AF

Professional summary

Andrew George Franks is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2000. Andrew has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew George Franks'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 9, 2024 - Present

THE LEADERS GROUP, INC.

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

October 7, 2019 - March 1, 2023

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

January 22, 2009 - September 24, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

BD
CRD#: 7110
COLUMBUS, OH
Past

March 15, 2007 - October 30, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
FRANKLIN, TN
Past

July 6, 2005 - February 6, 2007

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
REYNOLDSBURG, OH
Past

July 6, 2005 - February 6, 2007

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
REYNOLDSBURG, OH
Past

April 12, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
REYNOLDSBURG, OH
Past

April 12, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

March 10, 2004 - March 16, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
COLUMBUS, OH
Past

August 29, 2003 - March 16, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

November 2, 2000 - September 10, 2001

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
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
Ohio
(6/10/2024)
RR
Virginia
(6/9/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/6/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/25/2006
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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