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MM

Michael Minton

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 4411171
MM

Professional summary

Michael Minton, who also goes by Michael Patrick Minton, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 8 firms and has passed the Series 66, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Patrick Minton

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 Michael Minton'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

May 1, 2026 - Present

THE LEADERS GROUP, INC.

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

November 10, 2023 - May 1, 2026

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 26, 2020 - November 1, 2023

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
Wheaton, IL
Past

January 3, 2013 - March 31, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

November 2, 2011 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

January 1, 2007 - October 20, 2011

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

June 20, 2003 - December 31, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

June 20, 2003 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 10, 2001 - June 9, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 10, 2001 - June 9, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
Arizona
(5/1/2026)
RR
Illinois
(5/1/2026)
RR
Indiana
(5/1/2026)
RR
Iowa
(5/1/2026)
RR
Kansas
(5/1/2026)
RR
Kentucky
(5/1/2026)
RR
Louisiana
(5/1/2026)
RR
Michigan
(5/1/2026)
RR
Minnesota
(5/1/2026)
RR
Missouri
(5/1/2026)
RR
Nevada
(5/1/2026)
RR
Ohio
(5/3/2026)
RR
Texas
(5/1/2026)
RR
Wisconsin
(5/1/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 11/10/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/9/2001
General Securities Representative 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)
PREMIUM
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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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