Michael J. Winn

THE LEADERS GROUP

SUMMIT, NJ 07901

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CRD#: 2369114

Professional summary

Michael Joseph Winn, who also goes by Michael J Winn, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1993. Michael has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael J Winn

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 Michael Joseph Winn'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

November 14, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

March 3, 2025 - November 3, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

November 13, 2023 - August 14, 2024

BOULEVARD FAMILY WEALTH SERVICES, LLC

RIA

CRD#: 327643

BEVERLY HILLS, CA

Past

August 24, 2021 - March 14, 2023

SANCTUARY SECURITIES, INC.

CRD#: 205

MIAMI, FL

Past

August 23, 2021 - March 14, 2023

SANCTUARY ADVISORS, LLC

RIA

CRD#: 226606

Los Angeles, CA

Past

October 28, 2020 - September 3, 2021

AUDENT GLOBAL ASSET MANAGEMENT, LLC

RIA

CRD#: 308166

LOS ANGELES, CA

Past

July 28, 2020 - August 30, 2021

CAPE SECURITIES INC.

CRD#: 7072

Los Angeles, CA

Past

February 18, 2020 - September 1, 2020

PRIVATE ADVISOR GROUP, LLC

RIA

CRD#: 155216

Los Angeles, CA

Past

May 2, 2016 - February 14, 2020

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

LOS ANGELES, CA

Past

April 29, 2016 - February 14, 2020

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

CENTURY CITY, CA

Past

May 13, 2011 - May 27, 2016

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CENTURY CITY, CA

Past

May 13, 2011 - May 27, 2016

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CENTURY CITY, CA

Past

November 7, 2007 - May 17, 2011

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LOS ANGELES, CA

Past

April 15, 2003 - November 12, 2007

OPPENHEIMER ASSET MANAGEMENT

RIA

CRD#: 105559

NEW YORK, NY

Past

January 3, 2003 - April 15, 2003

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

LOS ANGELES, CA

Past

January 3, 2003 - May 17, 2011

OPPENHEIMER & CO. INC.

CRD#: 249

LOS ANGELES, CA

Past

October 7, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

RIA

CRD#: 630

LOS ANGELES, CA

Past

October 5, 1999 - January 3, 2003

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

June 28, 1993 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

June 28, 1993 - November 30, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(11/14/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/7/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE LEADERS GROUP, INC.

SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP

CRD#: 37157 / SEC#: , 8-47639

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

Name	Position	CRD#
SIMPLICITY FINANCIAL MARKETING HOLDINGS, INC.	SHAREHOLDER
PETERS, ROBERT WILLIAM	FINOP	1704577
RILEY, ZORAH JANE	CHIEF COMPLIANCE OFFICER	3015509
WICKERSHAM, SEAN DAVID	PRESIDENT	4994630

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Winn

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Joseph Winn's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

BOULEVARD FAMILY WEALTH SERVICES, LLC

SANCTUARY SECURITIES, INC.

SANCTUARY ADVISORS, LLC

AUDENT GLOBAL ASSET MANAGEMENT, LLC

CAPE SECURITIES INC.

PRIVATE ADVISOR GROUP, LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER ASSET MANAGEMENT

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

CIBC WORLD MARKETS CORP.

CIBC WORLD MARKETS CORP.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/1999

Series 63

Date: 6/26/1993

SIE

Date: 10/1/2018

Series 7

Date: 10/7/1998

Series 6

Date: 6/26/1993

FINRA

Current Firm

THE LEADERS GROUP, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THE LEADERS GROUP, INC.

TRUST BUT VERIFY

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