Michael A. Leichman
Professional summary
Michael Alan Leichman was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Alan Leichman was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1988. Michael had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2008 - April 29, 2010
MORGAN KEEGAN & COMPANY, LLC
December 22, 2008 - April 29, 2010
MORGAN KEEGAN & COMPANY, LLC
July 24, 2006 - January 5, 2009
JANNEY MONTGOMERY SCOTT LLC
September 28, 2001 - January 5, 2009
JANNEY MONTGOMERY SCOTT LLC
August 5, 2000 - September 28, 2001
WELLS FARGO CLEARING SERVICES, LLC
May 25, 1988 - August 5, 2000
GLEACHER & COMPANY SECURITIES, 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
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
Red Flags
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