MW
Mark P. Winter
THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 841715
MW
Professional summary
Mark Peter Winter is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1983. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
1.) WEALTHPOINT - 7/1/2019 -2398 E Camelback Road, Suite 320, Phoenix, AZ 85016 - Sales person, Sales of life insurance products, Invt Rel, Insurance business, 144 hrs/mo; 126 hrs/mo (during trading hours). 2.) WEALTHPOINT LLC: BUSINESS ADVISORY SERVICES POSITION - 7/1/2019 - 2398 E Camelback Road, Suite 320, Phoenix, AZ 85016- Solicitor & Consultant, Providing introductions & consulting to clients, Not Invt Rel, Business Succession Consulting business, 10 hrs/mo; 10 hrs/mo (during trading hours). 3.) KESTRA ADVISORY SERVICES - 4/4/2016 - 5707 Southwest Pkwy, Bldg 2, Suite 400, Austin, TX 78735 - Providing advisory services, Working with clients, Invt Rel, RA business, 5 hrs/mo; 5 hrs/mo (during trading hours). 4.) HUB INTERNATIONAL INSURANCE SVCS INC - 11/1/08 - 4371 Latham Street, #101, Riverside, CA 92501 - Solicitor, Property & Casualty Introductions, Not Invt Rel, Property & Casualty Insurance sales, 5 hrs/mo; 5 hrs/mo (during trading hours). 5.) TLG ADVISORS INC - 2/18/25 - 26 W Dry Creek Circle, Suite 800, Littleton, CO 80120 - IAR Rep, Invt Rel, RA business, 0 hrs/mo; 0 hrs/mo (during trading hours).
CRS (Client Relationship Summary) - BD
Click below to view Mark Peter Winter'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
February 18, 2025 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901BD
CRD#: 37157
SUMMIT, NJ
Past
February 18, 2025 - October 1, 2025
TLG ADVISORS, INC.
RIA
CRD#: 111052
Thousand Oaks, CA
Past
April 20, 2016 - February 18, 2025
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
WESTLAKE VILLAGE, CA
Past
April 30, 1999 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
WESTLAKE VILLAGE, CA
Past
May 1, 1998 - February 18, 2025
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
WESTLAKE VILLAGE, CA
Past
April 22, 1991 - May 1, 1998
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 19, 1983 - June 25, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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
Alaska(2/18/2025)
RR
Arizona(2/18/2025)
RR
California(2/18/2025)
RR
Florida(2/18/2025)
RR
Nevada(2/18/2025)
RR
South Dakota(2/18/2025)
RR
Texas(2/18/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 8/15/1977
Registered Representative ExaminationSRO 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.
