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Todd Allen Cowan

Todd A. Cowan

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CRD#: 4270746
Todd Allen Cowan

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Todd Allen Cowan, CFP® was a registered financial professional .

Todd is a previously registered financial professional and started their career in finance in 2001. Todd had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2011

Experience

Past

July 26, 2022 - May 7, 2024

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

May 7, 2020 - January 6, 2022

LGT WEALTH MANAGEMENT US LIMITED

RIA
CRD#: 164190
London,
Past

April 9, 2020 - August 5, 2020

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

July 12, 2017 - May 10, 2018

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
Long Island City, NY
Past

July 12, 2017 - May 10, 2018

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
Long Island City, NY
Past

December 4, 2015 - July 5, 2016

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
FLORHAM PARK, NJ
Past

August 25, 2015 - December 11, 2015

OPPENHEIMER ASSET MANAGEMENT

RIA
CRD#: 105559
NEW YORK, NY
Past

July 30, 2015 - December 3, 2015

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
FLORHAM PARK, NJ
Past

July 24, 2015 - July 5, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
FLORHAM PARK, NJ
Past

February 6, 2015 - June 3, 2015

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
NEW YORK, NY
Past

January 29, 2015 - June 3, 2015

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEW YORK, NY
Past

November 12, 2004 - August 20, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
NEW YORK, NY
Past

November 12, 2004 - August 20, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
NEW YORK, NY
Past

May 10, 2002 - March 18, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
INDIANAPOLIS, IN
Past

January 8, 2001 - March 18, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
IAR
Series 65
Date: 4/23/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/10/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/19/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 1/5/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 6/16/2007
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/31/2007
General Securities Sales Supervisor - Options Module Examination

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#: 37157

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