CRD #37157 · FINRA BrokerCheck + SEC IAPD

THE Leaders Group, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Leaders Group, Inc. ranks #1,914 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #25 of 114 on the same disclosure sort used on the state browse page. THE Leaders Group, Inc. carries 4 BrokerCheck disclosures across 73 branch offices - light load for a mid-sized firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
73
branch offices
4
disclosures
#1,914 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 37157 THE Leaders Group, Inc.

THE Leaders Group, Inc. · Grade B · 4 disc · 0.05/office · Mid-sized firm

  • CRD 37157
  • GRADE B
  • DISC 4
  • REG 4
  • ARB 0
  • CIV 0
  • BRANCH 73
  • PER-OFF 0.05
  • RANK #1,914 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Usaa Investment Services Company (0.05 disc/office)

Usaa Investment Service…0.05APW Capital, Inc.0.06DAI Securities, LLC0.05THE Leaders Group, … (this)0.05
Disclosures per office among mid-sized firm peers (lower is cleaner)

THE Leaders Group, Inc. ranks #1,914 of 20,055 by disclosure count among graded broker-dealers; light load at 0.05 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

73 offices

FINRA: Large firm

Total disclosures

4 events

On FINRA BrokerCheck

Regulatory events

4 actions

100% of all disclosures

Disclosures per office

0.05 per office

4 ÷ 73 offices

THE Leaders Group, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 92% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 4
Arbitrations 0
Civil Events 0
Total 4

Counts for THE Leaders Group, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 4 Arbitration 0 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Summit, NJ, 07901
Formed
07/14/1994
State of Formation
Delaware
CRD Number
37157
SEC Number
47639

Regulator-heavy mix

THE Leaders Group, Inc. in the heavier-disclosure third

THE Leaders Group, Inc. carries 4 BrokerCheck disclosures across 73 branch offices - a heavier-third raw book among graded firms (#1,914 of 20,055). Regulator-initiated events are 100% of the book (4 regulatory / 0 arbitration / 0 civil).

100% of THE Leaders Group, Inc.'s 4 disclosures are regulator-initiated (4 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of THE Leaders Group, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 0.31× state average

THE Leaders Group, Inc. sits below the New Jersey disclosure average

THE Leaders Group, Inc. reports 4 BrokerCheck disclosures, 0.31× the New Jersey average of 12.9, lighter than most of the 114 graded firms filed there.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does THE Leaders Group, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, THE Leaders Group, Inc. ranks #1,914 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #25 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for THE Leaders Group, Inc.?
A grade of B reflects THE Leaders Group, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 4 total disclosures across 73 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does THE Leaders Group, Inc. have?
THE Leaders Group, Inc. has 4 total FINRA disclosures, including 4 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is THE Leaders Group, Inc.?
THE Leaders Group, Inc. operates 73 branch offices and is classified by FINRA as a large firm, registered in NJ (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify THE Leaders Group, Inc.'s disciplinary record?
You can verify THE Leaders Group, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 37157. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Should I avoid THE Leaders Group, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. THE Leaders Group, Inc. carries 4 disclosures across 73 branch offices (about 0.05 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for THE Leaders Group, Inc., both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Usaa Investment Services Company (TX) - 0.05 disclosures/office, nearest mid-sized firm peer to THE Leaders Group, Inc.'s 0.05
  • APW Capital, Inc. (NJ) - 0.06 disclosures/office, nearest mid-sized firm peer to THE Leaders Group, Inc.'s 0.05
  • DAI Securities, LLC (GA) - 0.05 disclosures/office, nearest mid-sized firm peer to THE Leaders Group, Inc.'s 0.05
  • Firms in NJ - state roster that includes THE Leaders Group, Inc.'s registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like THE Leaders Group, Inc..
  • Reading BrokerCheck Reports - How THE Leaders Group, Inc.'s 0.05 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to THE Leaders Group, Inc..
  • Compare firms - put THE Leaders Group, Inc. next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.