Barbara M. Leonard
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.
Barbara Mitchell Leonard, who also goes by Barbara Mitchell Beasley, Barbara Jo Mitchell, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1982. Barbara had worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 8, 2008 - April 26, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 18, 2008 - February 21, 2019
FUTURE FINANCIAL PARTNERS
November 12, 2004 - November 27, 2007
ALLEGIANCE FINANCIAL ADVISORS, INC.
November 7, 1991 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 7, 1991 - August 10, 2007
SIGNATOR INVESTORS, INC.
October 17, 1990 - August 20, 1991
MUTUAL SERVICE CORPORATION
June 21, 1982 - October 2, 1990
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
