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DF

Duane Flynn

THE LEADERS GROUP
SUMMIT, NJ 07901
CRD#: 4188179
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DF
Duane FlynnTHE LEADERS GROUP

Professional summary

Duane Flynn, who also goes by Duane Edward Flynn, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Duane is registered as a RR (Registered Representative) and started their career in finance in 2000. Duane has worked at 9 firms and has passed the Series 63, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duane Edward Flynn

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 Duane Flynn'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

July 1, 2026 - Present

THE LEADERS GROUP, INC.

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

October 24, 2025 - March 24, 2026

JOHNSTONE BROKERAGE SERVICES, LLC

BD
CRD#: 301394
LOUISVILLE, KY
Past

September 23, 2024 - October 29, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
Louisville, KY
Past

January 7, 2022 - August 21, 2024

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

July 8, 2021 - January 4, 2022

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

May 28, 2015 - January 26, 2017

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

April 29, 2014 - May 29, 2015

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 3, 2008 - January 30, 2014

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

November 1, 2006 - December 31, 2007

UNDERWRITERS EQUITY CORPORATION

BD
CRD#: 36537
OAKBROOK TERRACE, IL
Past

January 30, 2006 - October 6, 2006

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

October 4, 2002 - August 5, 2005

EVERLAKE DISTRIBUTORS, LLC

BD
CRD#: 100460
NORTHBROOK, IL
Past

September 19, 2000 - October 4, 2002

AFD, INC.

BD
CRD#: 34047
NORTHBROOK, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 9/18/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/18/2003
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)

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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