Manuel J. Leon
Professional summary
Manuel Jose Leon JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Manuel is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Manuel had worked at 12 firms, which includes INVESTORS CAPITAL CORP., WALLSTREET*E FINANCIAL SERVICES INC., MERRIMAC CORPORATE SECURITIES INC., J.W. KORTH & COMPANY, TD AMERITRADE INC., WELLS FARGO CLEARING SERVICES LLC, STERLING FINANCIAL INVESTMENT GROUP INC., BNY MELLON SECURITIES CORPORATION, QUICK & REILLY INC., AMERIPRISE ADVISOR SERVICES INC., PRUDENTIAL EQUITY GROUP LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2008 - May 5, 2009
INVESTORS CAPITAL CORP.
August 22, 2008 - May 5, 2009
INVESTORS CAPITAL CORP.
July 30, 2008 - August 26, 2008
WALLSTREET*E FINANCIAL SERVICES, INC.
September 4, 2007 - August 25, 2008
MERRIMAC CORPORATE SECURITIES, INC.
August 20, 2007 - August 25, 2008
MERRIMAC CORPORATE SECURITIES, INC.
June 18, 2007 - August 16, 2007
J.W. KORTH & COMPANY
February 6, 2006 - December 4, 2006
TD AMERITRADE, INC.
January 23, 2006 - December 4, 2006
TD AMERITRADE, INC.
August 3, 2005 - January 23, 2006
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2005 - January 23, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2005 - May 3, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 21, 2004 - January 31, 2005
BNY MELLON SECURITIES CORPORATION
May 18, 2004 - January 31, 2005
BNY MELLON SECURITIES CORPORATION
December 15, 2003 - May 5, 2004
QUICK & REILLY, INC.
May 9, 2001 - December 4, 2003
TD AMERITRADE, INC.
June 12, 1991 - May 3, 2001
AMERIPRISE ADVISOR SERVICES, INC.
August 3, 1987 - June 12, 1991
PRUDENTIAL EQUITY GROUP, LLC
August 26, 1982 - August 8, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 9/22/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
