AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DK

David M. Kleinhandler

THE LEADERS GROUP
SUMMIT, NJ 07901
Some features on this profile are disabled
CRD#: 1730071
DK

Professional summary

David Mitchell Kleinhandler, who also goes by David M Kleinhandler, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

David is registered as a RR (Registered Representative) and started their career in finance in 1988. David has worked at 8 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David M Kleinhandler

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 David Mitchell Kleinhandler'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

February 28, 2023 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901
BD
CRD#: 37157
SUMMIT, NJ
Past

October 23, 2017 - June 6, 2019

DYNASTY SECURITIES, LLC

BD
CRD#: 159076
NEW YORK, NY
Past

August 12, 2015 - December 31, 2015

WAVECREST SECURITIES LLC

BD
CRD#: 160135
BRENTWOOD, TN
Past

December 12, 2013 - May 14, 2014

COWEN PRIME SERVICES LLC

RIA
CRD#: 153397
NEW YORK, NY
Past

November 27, 2013 - May 14, 2014

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
NEW YORK, NY
Past

June 11, 1998 - April 5, 2006

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
NEW YORK, NY
Past

May 4, 1995 - February 28, 1997

PINEBRIDGE SECURITIES LLC

BD
CRD#: 5967
NEW YORK, NY
Past

April 28, 1993 - December 1, 1993

PRINCETON EQUITY SECURITIES, INC.

BD
CRD#: 15374
NEW YORK, NY
Past

May 3, 1988 - May 9, 1991

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY

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
(10/30/2025)
RR
California
(6/11/2024)
RR
Colorado
(10/8/2024)
RR
Delaware
(6/26/2024)
RR
Florida
(7/23/2025)
RR
Georgia
(11/10/2025)
RR
Hawaii
(11/7/2025)
RR
Maine
(8/6/2024)
RR
Michigan
(11/3/2025)
RR
Montana
(10/9/2024)
RR
New Mexico
(10/31/2025)
RR
New York
(3/16/2023)
RR
North Carolina
(8/5/2024)
RR
North Dakota
(11/10/2025)
RR
Oklahoma
(10/30/2025)
RR
Oregon
(11/3/2025)
RR
South Dakota
(8/21/2024)
RR
Texas
(6/10/2024)
RR
Vermont
(10/30/2025)
RR
Wyoming
(11/14/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/9/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 2/27/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2013
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/2/1988
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/23/2014
General Securities 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 37157Summit, NJ 07901

TRUST BUT VERIFY

Monitor David Kleinhandler

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Sungmin Ryan Park
Sungmin Ryan ParkAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Florham Park, NJ
Matthew James Borja Wang
Matthew James WangAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
New York, NY
Shivam S Mittal
Shivam MittalAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Summit, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics