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JW

Jonathan F. Woodward

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 5418719
JW

Professional summary

Jonathan Frank Woodward, who also goes by Jon Frank Woodward, Jonathan Woodward, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Jonathan is registered as a RR (Registered Representative) and started their career in finance in 2007. Jonathan has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jon Frank Woodward | Jonathan Woodward

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 Jonathan Frank Woodward'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 2, 2026 - Present

THE LEADERS GROUP, INC.

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

July 19, 2023 - October 23, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
CRESTED BUTTE, CO
Past

July 19, 2023 - October 23, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
CRESTED BUTTE, CO
Past

October 12, 2018 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
FRISCO, CO
Past

October 12, 2018 - July 19, 2023

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
FRISCO, CO
Past

July 23, 2015 - June 9, 2017

BANCWEST INVESTMENT SERVICES, INC.

RIA
CRD#: 29357
CRESTED BUTTE, CO
Past

July 23, 2015 - June 9, 2017

BANCWEST INVESTMENT SERVICES, INC.

BD
CRD#: 29357
CRESTED BUTTE, CO
Past

March 8, 2012 - October 8, 2013

FIRST CITIZENS INVESTOR SERVICES, INC.

RIA
CRD#: 44430
BOONE, NC
Past

March 7, 2012 - October 8, 2013

FIRST CITIZENS INVESTOR SERVICES, INC.

BD
CRD#: 44430
BOONE, NC
Past

January 4, 2011 - June 29, 2011

SYNOVUS SECURITIES, INC.

RIA
CRD#: 14023
HUNTSVILLE, AL
Past

December 17, 2010 - June 29, 2011

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
HUNTSVILLE, AL
Past

March 24, 2008 - July 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
NEWLAND, NC
Past

December 4, 2007 - July 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
NEWLAND, NC

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
Colorado
(1/2/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/21/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/6/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/9/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/2007
Investment Company Products/Variable Contracts 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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