Joseph R. Llewellyn

THE LEADERS GROUP

SUMMIT, NJ 07901

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CRD#: 5010829

Professional summary

Joseph Raymond Llewellyn IV, who also goes by Joseph Raymond Llewellyn IV, Joseph Llewellyn, Jr Llewellyn, Joseph Raymond Llewellyn Iv Iv, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joseph Raymond Llewellyn Iv | Joseph Llewellyn | Jr Llewellyn | Joseph Raymond Llewellyn Iv Iv

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.

Meyer Chatfield INSURANCE AND BENEFITS CONSULTING since June 2005

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Raymond Llewellyn IV'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

April 16, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

March 18, 2019 - December 31, 2022

EQUALIZE CAPITAL LLC

RIA

CRD#: 300640

Greensboro, GA

Past

June 1, 2009 - April 30, 2025

J. ALDEN ASSOCIATES, INC.

CRD#: 40002

WAYNE, PA

Past

February 5, 2008 - October 15, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

JENKINTOWN, PA

Past

June 1, 2007 - December 21, 2007

FIRST HEARTLAND CAPITAL, INC.

CRD#: 32460

GULF BREEZE, FL

Past

October 10, 2005 - June 1, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PENSACOLA, FL

Past

September 8, 2005 - June 1, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

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

Georgia
(4/16/2025)

Kentucky
(4/16/2025)

Louisiana
(4/16/2025)

Mississippi
(4/16/2025)

South Carolina
(4/16/2025)

South Dakota
(4/16/2025)

Tennessee
(4/16/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 9/29/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 9/6/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

THE LEADERS GROUP, INC.

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

CRD#: 37157 / SEC#: , 8-47639

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

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Joseph R. Llewellyn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Raymond Llewellyn IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUALIZE CAPITAL LLC

J. ALDEN ASSOCIATES, INC.

WOODBURY FINANCIAL SERVICES, INC.

FIRST HEARTLAND CAPITAL, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2005

SIE

Date: 10/1/2018

Series 31

Date: 9/29/2005

Series 7

Date: 9/6/2005

FINRA

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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