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Douglas Leo Flaute

THE Leaders Group, Inc.

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About Douglas Leo Flaute

Douglas Flaute is a financial advisor with The Leaders Group, Inc. Douglas has been in the industry since 1993. Douglas is registered in Florida. Douglas holds Series 6, 7, 22, 24, 39 and 63 licenses. Douglas has experience with mutual funds, variable contracts, direct participation programs and general securities.

Firm Information

Douglas Flaute is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Douglas Flaute’s Registration & Firm History

CO

10/30/2018 - Present

THE Leaders Group, Inc. (LITTLETON CO)

AZ

09/19/2015 - 12/31/2016

SAGEPOINT FINANCIAL, INC. (PHOENIX AZ)

NJ

01/04/2013 - 10/04/2013

PRUCO SECURITIES, LLC. (NEWARK NJ)

CT

11/11/2011 - 01/02/2013

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

MA

01/29/2010 - 10/31/2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

FL

05/05/2009 - 12/04/2009

MUTUAL TRUST CO. OF AMERICA SECURITIES (ST. PETERSBURG FL)

FL

06/26/2008 - 10/01/2008

ASSOCIATED SECURITIES CORP. (SANFORD FL)

NC

03/14/2006 - 04/16/2008

WACHOVIA SECURITIES, LLC (CHARLOTTE NC)

CT

04/16/1998 - 06/23/2005

HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)

MA

11/12/1992 - 03/30/1998

MUTUAL SERVICE CORPORATION (BOSTON MA)

MA

09/18/1991 - 11/09/1992

MANEQUITY, INC. (BOSTON MA)

PA

12/09/1985 - 10/10/1989

CIGNA SECURITIES, INC. (RADNOR PA)

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Licenses & Designations

BC

Issued 01/27/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 39 - Direct Participation Programs Principal Examination

BC

Issued 03/15/1994

Series 24 - General Securities Principal Examination

BC

Issued 12/31/2016

SIE - Securities Industry Essentials Examination

BC

Issued 02/15/1994

Series 7 - General Securities Representative Examination

BC

Issued 12/20/1985

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 12/06/1985

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Douglas Leo Flaute.
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