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CB

Christy L. Brown

THE LEADERS GROUP
Summit, NJ 07901
Some features on this profile are disabled
CRD#: 5434132
CB

Professional summary


Christy Leanne Brown, CFP®, CLU®, who also goes by Christy Leanne House, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Christy is registered as a RR (Registered Representative) and started their career in finance in 2007. Christy has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer


Are you a "fiduciary"?
No

Aliases


Christy Leanne House

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 Christy Leanne Brown'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®
CFP®

Start date: 2009

Experience


Current

May 23, 2013 - Present

THE LEADERS GROUP, INC.

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

October 27, 2010 - May 24, 2013

VERDE WEALTH GROUP, LLC

RIA
CRD#: 154568
HOUSTON, TX
Past

August 2, 2010 - February 28, 2013

VALMARK ADVISERS, INC.

RIA
CRD#: 108050
HOUSTON, TX
Past

July 30, 2010 - February 28, 2013

VALMARK SECURITIES, INC.

BD
CRD#: 31243
HOUSTON, TX
Past

March 16, 2010 - August 30, 2010

WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.

RIA
CRD#: 119127
HOUSTON, TX
Past

December 18, 2007 - August 16, 2010

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
HOUSTON, TX
Past

December 5, 2007 - August 16, 2010

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
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
Delaware
(8/8/2019)
RR
Texas
(5/23/2013)

Exams


State Security Law Exam
RR
IAR
Series 66
Date: 12/17/2007
Uniform Combined State Law Examination
General Industry/Product Exam
General Industry/Product Exam
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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