JS
John C. Small
THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 7575892
JS
Professional summary
John Carl Small, who also goes by John Carl Small, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
John is registered as a RR (Registered Representative) and started their career in finance in 2022. John has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Carl Small
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.
CRS (Client Relationship Summary) - BD
Click below to view John Carl Small's 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®
NoneExperience
Current
January 20, 2026 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
May 1, 2024 - December 31, 2025
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
FORT WAYNE, IN
Past
October 27, 2022 - May 1, 2024
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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(1/20/2026)
RR
Alaska(1/20/2026)
RR
Arizona(1/20/2026)
RR
Arkansas(1/20/2026)
RR
California(1/20/2026)
RR
Colorado(1/20/2026)
RR
Connecticut(1/20/2026)
RR
Delaware(1/20/2026)
RR
District of Columbia(1/20/2026)
RR
Florida(1/20/2026)
RR
Georgia(1/20/2026)
RR
Hawaii(1/20/2026)
RR
Idaho(1/20/2026)
RR
Illinois(1/20/2026)
RR
Indiana(1/20/2026)
RR
Iowa(1/20/2026)
RR
Kansas(1/20/2026)
RR
Kentucky(1/20/2026)
RR
Louisiana(1/20/2026)
RR
Maine(1/20/2026)
RR
Maryland(1/20/2026)
RR
Massachusetts(1/20/2026)
RR
Michigan(1/20/2026)
RR
Minnesota(1/20/2026)
RR
Mississippi(1/20/2026)
RR
Missouri(1/20/2026)
RR
Montana(1/20/2026)
RR
Nebraska(1/20/2026)
RR
Nevada(1/20/2026)
RR
New Hampshire(1/20/2026)
RR
New Jersey(1/20/2026)
RR
New Mexico(1/20/2026)
RR
New York(1/20/2026)
RR
North Carolina(1/20/2026)
RR
North Dakota(1/20/2026)
RR
Ohio(1/20/2026)
RR
Oklahoma(1/20/2026)
RR
Oregon(1/20/2026)
RR
Pennsylvania(1/20/2026)
RR
Puerto Rico(1/20/2026)
RR
Rhode Island(1/20/2026)
RR
South Carolina(1/20/2026)
RR
South Dakota(1/20/2026)
RR
Tennessee(1/20/2026)
RR
Texas(1/20/2026)
RR
Utah(1/20/2026)
RR
Vermont(1/20/2026)
RR
Virginia(1/20/2026)
RR
Washington(1/20/2026)
RR
West Virginia(1/20/2026)
RR
Wisconsin(1/20/2026)
RR
Wyoming(1/20/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/27/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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)
Disclosures
| Regulatory Event | 4 |
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.
