Michael D. Leigh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michael David Leigh was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1981. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 5 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2015 - August 15, 2017
WESTERN INTERNATIONAL SECURITIES, INC.
July 14, 2003 - October 30, 2015
BRILL SECURITIES, INC.
April 25, 2002 - July 17, 2003
OPPENHEIMER & CO. INC.
March 9, 2002 - May 20, 2002
RBC CAPITAL MARKETS, LLC
September 1, 1993 - March 9, 2002
TUCKER ANTHONY INCORPORATED
July 8, 1991 - August 23, 1993
INVESTEC INC.
December 24, 1981 - May 16, 1990
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
