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SL

Stephen I. Luna

THE LEADERS GROUP
Miami, FL 33131
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CRD#: 7197390
SL
Stephen Ishbak LunaTHE LEADERS GROUP

Professional summary

Stephen Ishbak Luna, who also goes by Stephen I Luna, Stephen Ishbak Luna Carrillo, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Miami, Florida.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2020. Stephen has worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Aliases

Stephen I Luna | Stephen Ishbak Luna Carrillo

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 Stephen Ishbak Luna'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

July 1, 2026 - Present

THE LEADERS GROUP, INC.

Office #1: 1441 Brickell Avenue Suite 1520, Miami, FL 33131
BD
CRD#: 37157
Miami, FL
Past

January 23, 2026 - April 30, 2026

VOYA RETIREMENT ADVISORS, LLC

RIA
CRD#: 3989
Boston, MA
Past

January 2, 2026 - April 30, 2026

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
Boston, MA
Past

November 12, 2025 - January 5, 2026

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
Boston, MA
Past

November 11, 2025 - January 5, 2026

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
Boston, MA
Past

July 3, 2024 - November 10, 2025

MANULIFE JOHN HANCOCK BROKERAGE SERVICES LLC

BD
CRD#: 150842
Boston, MA
Past

February 7, 2023 - November 10, 2025

JOHN HANCOCK PERSONAL FINANCIAL SERVICES, LLC

RIA
CRD#: 174433
BOSTON, MA
Past

July 20, 2022 - July 3, 2024

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

January 3, 2020 - July 21, 2022

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA

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
Massachusetts
(7/1/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/30/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/10/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/3/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2019
Securities Industry Essentials 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)

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#: 37157Miami, FL 33131

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