Lennie S. Freiman
Professional summary
Lennie Simmons Freiman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lennie is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Lennie had worked at 7 firms, which includes CALDWELL INTERNATIONAL SECURITIES, EMMETT A LARKIN COMPANY INC., COLLEGE & UNIVERSITY SECURITIES CORPORATION, ICBA SECURITIES, VINING-SPARKS IBG LLC, MORGAN KEEGAN & COMPANY LLC, VINING-SPARKS SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2003 - March 31, 2016
CALDWELL INTERNATIONAL SECURITIES
March 1, 2001 - March 31, 2016
CALDWELL INTERNATIONAL SECURITIES
September 27, 2000 - June 1, 2001
EMMETT A LARKIN COMPANY, INC.
October 30, 1997 - August 11, 1998
COLLEGE & UNIVERSITY SECURITIES CORPORATION
September 26, 1994 - August 11, 1998
ICBA SECURITIES
August 29, 1994 - August 11, 1998
VINING-SPARKS IBG, LLC
December 12, 1988 - August 25, 1994
MORGAN KEEGAN & COMPANY, LLC
November 16, 1981 - December 5, 1988
VINING-SPARKS SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 28
Date: 1/29/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CALDWELL INTERNATIONAL SECURITIES
CRD#: 104323 / SEC#: , 8-52771
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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