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RM

Ryan P. Maher

Some features on this profile are disabled
CRD#: 5550240
RM

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.

Ryan Patrick Maher, who also goes by Ryan P Maher, Ryan Maher, was a registered financial professional .

Ryan is a previously registered financial professional and started their career in finance in 2008. Ryan had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ryan P Maher | Ryan Maher

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)

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

July 21, 2025 - October 14, 2025

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

April 24, 2025 - June 3, 2025

HORTER INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 119880
CINCINNATI, OH
Past

August 4, 2023 - March 10, 2025

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
MONROE, OH
Past

August 4, 2023 - March 10, 2025

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
MONROE, OH
Past

February 16, 2023 - July 28, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CINCINNATI, OH
Past

February 15, 2023 - July 28, 2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CINCINNATI, OH
Past

December 21, 2021 - January 31, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
CINCINNATI, OH
Past

December 20, 2021 - January 31, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
CINCINNATI, OH
Past

September 17, 2020 - December 22, 2021

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CINCINNATI, OH
Past

September 17, 2020 - December 22, 2021

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CINCINNATI, OH
Past

August 3, 2017 - December 11, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
FAIRBORN, OH
Past

August 2, 2017 - December 11, 2019

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
FAIRBORN, OH
Past

May 9, 2012 - January 11, 2016

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
COLUMBUS, OH
Past

July 29, 2008 - January 5, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COLUMBUS, OH

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: 5/8/2012
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/2008
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 7
Date: 7/28/2008
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)
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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#: 37157

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