AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CS

Christopher T. Steffl

Some features on this profile are disabled
CRD#: 4452047
CS

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.

Christopher Thomas Steffl, who also goes by Chris Steffl, was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 2001. Christopher had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chris Steffl

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.
1.) MVP SERVICES SOLUTIONS LLC - 3/5/2008 - 116 E Main Street - Partner, Building management, Not Invt Rel, Office building, 1 hr/mo; 0 hrs/mo (during trading hours). 2.) SOLIDITY INSURANCE LLC - 4/22/2021 - 520 Hwy 96 W, Suite 300, Shoreview, MN 55126 - Owner, Running company, Not Invt Rel, Insurance agency, 2 hrs/mo; 0 hrs/mo (during trading hours). 3.) CYBERFIN LLC - 2/20/2021 - 378 Dunbar Knolls, Mahtomedi, MN 55115 - Managing partner, Running company, Not Invt Rel, Cybersecurity, 60 hrs/mo; 0 hrs/mo (during trading hours). 4.) VERSATILE INSURANCE SERVICES LLC - 5/11/2019 - 116 E Main Street, Panora, IA 50216 - Managing partner, Running company, Not Invt Rel, Insurance brokerage, 60 hrs/mo; 0 hrs/mo (during trading hours). 5.) UNITED PRODUCERS GROUP INC - 4/1/2002 - 5924 York Avenue S, Edina, MN 55410 - Owner, Running company, Not Invt Rel, Insurance business, 5 hrs/mo; 0 hrs/mo (during trading hours). 6.) TLG ADVISORS, INC - 1/26/2024 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).

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®
None

Experience

Past

February 2, 2024 - September 22, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

January 29, 2024 - September 22, 2025

TLG ADVISORS, INC.

RIA
CRD#: 111052
Panora, IA
Past

September 20, 2021 - April 20, 2022

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
Edina, MN
Past

September 15, 2021 - April 20, 2022

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past

July 26, 2017 - October 31, 2019

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
MINNEAPOLIS, MN
Past

July 24, 2017 - October 31, 2019

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
LAKE ST. LOUIS, MO
Past

November 12, 2013 - August 20, 2015

AMERITAS INVESTMENT COMPANY, LLC

RIA
CRD#: 14869
MINNEAPOLIS, MN
Past

July 29, 2011 - August 20, 2015

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
MINNEAPOLIS, MN
Past

July 2, 2007 - July 22, 2011

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
MINNEAPOLIS, MN
Past

January 6, 2004 - June 26, 2007

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
MINNEAPOLIS, MN
Past

March 8, 2002 - April 25, 2003

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MINNEAPOLIS, MN
Past

October 30, 2001 - April 25, 2003

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
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
RR
IAR
Series 66
Date: 11/15/2001
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: 10/29/2001
General Securities Representative 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Christopher Steffl

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics