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TL

Thomas J. Liedl

THE LEADERS GROUP
Minneapolis, MN 55416
Some features on this profile are disabled
CRD#: 6171418
TL

Professional summary

Thomas Joseph Liedl, who also goes by Thomas Joseph Liedl, Tom Liedl, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Minneapolis, Minnesota.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2013. Thomas has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Joseph Liedl | Tom Liedl

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 Thomas Joseph Liedl'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

June 11, 2019 - Present

THE LEADERS GROUP, INC.

Office #1: 5701 Golden Hills Drive, Minneapolis, MN 55416
BD
CRD#: 37157
Minneapolis, MN
Past

August 1, 2017 - June 12, 2019

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

January 25, 2017 - August 2, 2017

QUESTAR CAPITAL CORPORATION

BD
CRD#: 43100
MINNEAPOLIS, MN
Past

April 17, 2013 - June 16, 2016

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
MAPLE GROVE, MN

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
Alabama
(6/11/2019)
RR
Alaska
(6/11/2019)
RR
Arizona
(6/11/2019)
RR
Arkansas
(6/11/2019)
RR
California
(6/11/2019)
RR
Colorado
(6/11/2019)
RR
Connecticut
(6/11/2019)
RR
Delaware
(6/11/2019)
RR
District of Columbia
(6/11/2019)
RR
Florida
(6/11/2019)
RR
Georgia
(6/11/2019)
RR
Hawaii
(6/11/2019)
RR
Idaho
(6/11/2019)
RR
Illinois
(6/11/2019)
RR
Indiana
(6/11/2019)
RR
Iowa
(6/11/2019)
RR
Kansas
(6/11/2019)
RR
Kentucky
(6/11/2019)
RR
Louisiana
(6/11/2019)
RR
Maine
(6/11/2019)
RR
Maryland
(6/11/2019)
RR
Massachusetts
(6/11/2019)
RR
Michigan
(6/11/2019)
RR
Minnesota
(6/11/2019)
RR
Mississippi
(6/11/2019)
RR
Missouri
(6/11/2019)
RR
Montana
(6/11/2019)
RR
Nebraska
(6/11/2019)
RR
Nevada
(6/11/2019)
RR
New Hampshire
(6/11/2019)
RR
New Jersey
(6/11/2019)
RR
New Mexico
(6/11/2019)
RR
New York
(6/11/2019)
RR
North Carolina
(6/11/2019)
RR
North Dakota
(6/11/2019)
RR
Ohio
(6/12/2019)
RR
Oklahoma
(6/11/2019)
RR
Oregon
(6/11/2019)
RR
Pennsylvania
(6/11/2019)
RR
Rhode Island
(6/11/2019)
RR
South Carolina
(6/11/2019)
RR
South Dakota
(6/11/2019)
RR
Tennessee
(6/11/2019)
RR
Texas
(6/11/2019)
RR
Utah
(6/11/2019)
RR
Vermont
(6/11/2019)
RR
Virginia
(6/11/2019)
RR
Washington
(6/11/2019)
RR
West Virginia
(6/11/2019)
RR
Wisconsin
(6/11/2019)
RR
Wyoming
(6/11/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 6/3/2013
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 6
Date: 4/16/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/18/2022
Investment Company Products/Variable Contracts Principal 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#: 37157Minneapolis, MN 55416

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