Leonard H. Schwalb
Professional summary
Leonard Henry Schwalb is a registered financial professional currently at NOLAN SECURITIES CORP. located in Monterey, Massachusetts.
Leonard is registered as a RR (Registered Representative) and started their career in finance in 1981. Leonard has worked at 7 firms and has passed the SIE, Series 99TO and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leonard Henry Schwalb's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2006 - Present
NOLAN SECURITIES CORP.
Office #1: 535 Main Road, Monterey, MA 01245December 6, 2001 - January 31, 2003
ACORN OVERSEAS SECURITIES CO.
December 19, 1995 - January 31, 2003
ZPG SECURITIES, L.L.C.
October 20, 1994 - May 24, 2000
COWEN SECURITIES LLC
April 14, 1994 - January 31, 2003
DFG CORPORATION
March 14, 1991 - January 31, 2006
BLUE RIVER CAPITAL LLC
August 7, 1981 - June 10, 1991
GREENFIELD PARTNERS
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
NOLAN SECURITIES CORP.
CRD#: 27984 / SEC#: , 8-43354
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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