Leo A. Dow
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.
Leo Albert Dow JR, who also goes by Leo Albert (jr) Dow, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1982. Leo had worked at 3 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1996 - March 11, 1997
LONE STAR SECURITIES, INC.
September 6, 1994 - December 22, 1994
TEXAKOMA FINANCIAL, INC.
September 2, 1982 - April 29, 1983
MF GLOBAL 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
Current Firm
LONE STAR SECURITIES, INC.
CRD#: 20452 / SEC#: , 8-38254
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
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.
