**Haselkorn & Thibaut, a national investor protection law firm, has opened an investigation into Houston, Texas-based financial advisor Berkely Arrants and her association with The Leaders Group. Investors who have questions about their accounts or the conduct of Berkely Arrants are encouraged to get a free consultation by calling 1-888-994-8066. This report presents a comprehensive, up-to-date review of Ms. Arrants’ professional background, regulatory history, and any potential red flags.**
**Introducing Berkely Arrants – Houston, Texas Financial Advisor**
Berkely Arrants (CRD# 4692327) is a Houston, Texas-based financial advisor with more than two decades of securities industry experience. She has a notable career, having been registered as a broker with **The Leaders Group** and as an investment advisor with **Savvy**. In addition to these affiliations, Ms. Arrants is also the founder of Horizon Advisory Group. With a long record of working at several reputable firms, her track record is of keen interest to investors seeking transparency and reliability.
**Key Professional Information**
| Field | Value |
|---|---|
| Advisor Name | Berkely Arrants |
| CRD Number | 4692327 |
| Broker-Dealer | The Leaders Group |
| Investment Advisor | Savvy |
| Location | Houston, Texas |
**Experience & Credentials**
Berkely Arrants has amassed over 22 years in the securities industry and holds several important regulatory qualifications, including the **Securities Industry Essentials Examination (SIE)**, **Series 7**, **Series 65**, and **Series 66**. She is registered across multiple states, including California, Iowa, Tennessee, and Texas. Her prior associations include reputable firms such as **Commonwealth Financial Network, MML Investors Services, Hornor Townsend & Kent, Merrill Lynch, and Chase Investment Services**.
**Why Did Berkely Arrants Resign from The Leaders Group?**
In October 2025, Berkely Arrants voluntarily resigned from The Leaders Group. According to her BrokerCheck record, this departure happened while she was under internal review for unspecified reasons. No additional details about the nature or subject of the internal review were provided. While such disclosures may understandably prompt concern, there are important points to note:
- There is **no public record** of any customer disputes, arbitrations, or financial settlements involving Ms. Arrants according to BrokerCheck and supplemental sources.
- There are **no reported regulatory actions, fines, or censures** involving Ms. Arrants by FINRA, the SEC, or any state securities regulator.
- She has **no bankruptcy filings or civil judicial actions** linked to her professional record.
To see the most current information regarding Berkely Arrants, consult her BrokerCheck page.
**The Leaders Group – Firm-Level Regulatory History**
While Berkely Arrants’ individual record appears clear, it’s essential to consider the history of her broker-dealer, **The Leaders Group**. Investors should be aware of three notable regulatory enforcement actions against this firm:
- In **2018**, The Leaders Group faced allegations regarding insufficient supervision and record-keeping related to consolidated reports for customers. The firm was censured and fined $95,000.
- In **2017**, the firm was fined $1,000 by the New York State Department of Financial Services for not timely notifying the agency about administrative actions in Florida.
- In **2010**, Florida’s Office of Financial Regulation fined the firm $22,500 for failure to supervise, violations related to registration agreements, and issues with required books and records.
**These events pertain to the firm as a whole and not specifically to Ms. Arrants. Still, they highlight the importance of firm-level oversight and potential red flags for investors.**
**Complaint & Dispute Record**
**Berkely Arrants’ complaint record, as of the latest available data:**
- Customer Disputes / Arbitrations: 0
- Regulatory Actions (FINRA or SEC): 0
- Bankruptcy Filings: 0
- Civil Judicial Actions: 0
No SEC enforcement actions, cease-and-desist orders, or administrative proceedings have named Ms. Arrants. In addition, a broad search across digital media and public records brings up no complaints, lawsuits, or negative press involving her professional conduct.
**What Investors Should Watch For**
Although Berkely Arrants’ records do not currently raise individual red flags, her recent internal review and voluntary resignation from The Leaders Group highlight the importance of vigilance. Investors should always be attentive to these issues:
- Firm Disciplinary History: Has there been a pattern of regulatory infractions at the firm level?
- Internal Reviews: Is the advisor’s departure linked to undisclosed business practices or firm policies?
- Transparency: Are details about internal reviews and departures communicated openly?
- State Licensure: Are you aware of the advisor’s obligations and registration status in your state?
Even if there are no public customer complaints or regulatory actions, sudden departures or internal reviews deserve attention from current and prospective investors.
**What to Do If You Have Concerns**
If you have concerns about your investments or the service you’ve received from Berkely Arrants or The Leaders Group, you have the right to protect your interests. Some next steps include:
- Review your account statements and correspondence carefully for unauthorized activity or unexplained changes.
- Request additional details in writing about any recent changes or departures.
- Speak with a qualified investment fraud attorney for an independent review of your account.
**Haselkorn & Thibaut** is a national securities fraud law firm with over 50 years of experience, a 98% success rate, and millions recovered for clients nationwide. There are no fees unless you recover.
**Contact Haselkorn & Thibaut for a Free Consultation**
If you are an investor with Berkely Arrants, or if you have worked with The Leaders Group, and have concerns about your investments, **Haselkorn & Thibaut** offers confidential, risk-free consultations. Our team will answer your questions, review your case, and help you determine if there are grounds for legal action.
Your investments deserve protection. If you would like a free, confidential review of your potential claim, call Haselkorn & Thibaut at 1-888-994-8066 today.
