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AM

Alan Murillo

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 5304225
AM

Professional summary

Alan Murillo is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Alan is registered as a RR (Registered Representative) and started their career in finance in 2007. Alan has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3 and Series 7 exams.

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) - BD

Click below to view Alan Murillo'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

January 22, 2026 - Present

THE LEADERS GROUP, INC.

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

November 10, 2023 - January 24, 2024

PFS INVESTMENTS INC.

BD
CRD#: 10111
HOUSTON, TX
Past

March 23, 2021 - March 21, 2022

W&S BROKERAGE SERVICES, INC.

RIA
CRD#: 8099
HOUSTON, TX
Past

March 23, 2021 - March 21, 2022

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
HOUSTON, TX
Past

September 6, 2018 - September 24, 2019

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
Houston, TX
Past

September 5, 2018 - September 24, 2019

BBVA SECURITIES INC.

BD
CRD#: 27060
HOUSTON, TX
Past

February 9, 2015 - September 22, 2016

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
HOUSTON, TX
Past

February 9, 2015 - September 22, 2016

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

May 18, 2012 - June 20, 2013

MONEX ASSET MANAGEMENT, INC.

RIA
CRD#: 148123
HOUSTON, TX
Past

May 18, 2012 - June 20, 2013

MONEX SECURITIES, INC.

BD
CRD#: 30362
HOUSTON, TX
Past

July 21, 2009 - September 10, 2010

MONEX ASSET MANAGEMENT, INC.

RIA
CRD#: 148123
HOUSTON, TX
Past

April 10, 2007 - September 10, 2010

MONEX SECURITIES, INC.

BD
CRD#: 30362
HOUSTON, TX

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
Texas
(1/22/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/7/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/10/2007
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2007
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)
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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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