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Michael Minton

THE LEADERS GROUP
Summit, NJ
·CRD# 4411171·25 years registered

Professional Summary

Michael Minton, who also goes by Michael Patrick Minton, is a registered financial advisor 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.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Patrick Minton

Blog Corner

More Resources

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

25 years registered in the securities industry

Current & Past Employments

Current

THE LEADERS GROUP, INC.Current·CRD# 37157
BD
475 Springfield Avenue, Summit, NJ 07901
May 1, 2026 - Present

Past

LPL FINANCIAL LLCPast·CRD# 6413
BD
Fort Mill, SC
November 10, 2023 - May 1, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INCPast·CRD# 21570
BD
Wheaton, IL
March 26, 2020 - November 1, 2023
PRUCO SECURITIES, LLC.Past·CRD# 5685
BD
Newark, NJ
January 3, 2013 - March 31, 2020
HIMCO DISTRIBUTION SERVICES COMPANYPast·CRD# 6604
BD
Hartford, CT
November 2, 2011 - January 3, 2013
RIVERSOURCE DISTRIBUTORS, INC.Past·CRD# 139135
BD
Minneapolis, MN
January 1, 2007 - October 20, 2011
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Minneapolis, MN
June 20, 2003 - January 1, 2007
IDS LIFE INSURANCE COMPANYPast·CRD# 6321
BD
Minneapolis, MN
June 20, 2003 - December 31, 2006
IDS LIFE INSURANCE COMPANYPast·CRD# 6321
BD
Minneapolis, MN
August 10, 2001 - June 9, 2003
AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363
BD
Minneapolis, MN
August 10, 2001 - June 9, 2003

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Current Firm

TL
THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP | SIMPLICITY INVESTMENTS, INC.

CRD#: 37157 / SEC#: 8-47639
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

FINRA licenses (52 States and Territories)

Registered to provide investment advisory services in 0 US 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 Event

4

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jul 2001About the Series 66 exam

Series 99TO — Operations Professional Examination

Passed Nov 2023About the Series 99TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2001About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Michael Minton's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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