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LJ

Leila C. Jenkins

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CRD#: 1097009
LJ

Professional summary

Leila Cassel Jenkins was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leila is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Leila had worked at 8 firms, which includes SPOUTING ROCK CAPITAL ADVISORS LLC, MOORS & CABOT FINANCIAL ADVISORS LLC, MOORS & CABOT INC., WHITEHORNE & COMPANY LTD., DOMINARI SECURITIES LLC, LOCKE CAPITAL MANAGEMENT INC, SHIELDS & COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 3, 2008 - February 12, 2009

SPOUTING ROCK CAPITAL ADVISORS, LLC

BD
CRD#: 143180
NEW YORK, NY
Past

August 25, 2006 - October 17, 2006

MOORS & CABOT FINANCIAL ADVISORS, LLC

BD
CRD#: 132798
NAPLES, FL
Past

June 6, 2006 - August 25, 2006

MOORS & CABOT, INC.

BD
CRD#: 594
NAPLES, FL
Past

January 7, 2004 - October 21, 2005

WHITEHORNE & COMPANY, LTD.

BD
CRD#: 128031
NEWPORT BEACH, CA
Past

July 14, 2000 - May 11, 2001

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

June 27, 1997 - March 31, 2009

LOCKE CAPITAL MANAGEMENT INC

RIA
CRD#: 106742
NEWPORT, RI
Past

September 19, 1991 - January 21, 2000

WHITEHORNE & COMPANY, LTD.

BD
CRD#: 28724
SMITHFIELD, RI
Past

February 25, 1983 - March 25, 1988

SHIELDS & COMPANY

BD
CRD#: 11053

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/22/1996
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/3/1991
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/25/1991
General Securities Sales Supervisor Examination (Options Module & General Module)
Principal/Supervisory Exam
RR
Series 4
Date: 10/24/1991
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/2/1991
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/1991
General Securities Principal Examination

Current Firm

SR
SPOUTING ROCK CAPITAL ADVISORS, LLC
SPOUTING ROCK CAPITAL ADVISORS, LLC

CRD#: 143180 / SEC#: , 8-67539

BD
Terminated by SEC on 02/21/2022
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 10/17/2006
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PAGE, BLAKELY CHAPMANMANAGING MEMBER, PRESIDENT, PRINCIPAL, CCO2922955
SPOUTING ROCK FINANCIAL PARTNERS, LLCMEMBER
KINZER, CAROL ANNFINANCIAL AND OPERATIONS PRINCIPAL4519471

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.

Company Information

SPOUTING ROCK CAPITAL ADVISORS, LLC

CRD#: 143180

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