Eugene J. 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.
Eugene Joseph Leonard, who also goes by Gene Leonard, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1982. Eugene had worked at 8 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - January 2, 2024
DIAMOND INVESTMENT MANAGEMENT SERVICES, LLC
September 11, 2007 - April 18, 2012
PEAK INVESTMENT MANAGEMENT, LTD
March 20, 2000 - January 21, 2004
UBS FINANCIAL SERVICES INC.
March 15, 2000 - January 21, 2004
UBS FINANCIAL SERVICES INC.
December 3, 1997 - April 14, 2000
PIPER SANDLER & CO.
October 24, 1994 - December 4, 1997
PRUDENTIAL EQUITY GROUP, LLC
February 18, 1994 - October 28, 1994
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - December 10, 1993
CITIGROUP GLOBAL MARKETS INC.
August 1, 1983 - July 31, 1993
LEHMAN BROTHERS INC.
July 22, 1982 - August 1, 1983
FOSTER & MARSHALL 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 15
Date: 6/20/1991
Foreign Currency Options ExaminationSeries 5
Date: 6/20/1991
Interest Rate Options ExaminationSeries 8
Date: 10/21/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DIAMOND INVESTMENT MANAGEMENT SERVICES, LLC
CRD#: 164439 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 127 |
| AUM (Assets Under Management) | $ 22,800,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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