Leonard S. Berman
Professional summary
Leonard Sheldon Berman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leonard is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, Leonard had worked at 3 firms, which includes INNOVATIVE EQUITIES CORPORATION, MONVEST SECURITIES INC., KOBRIN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 1985 - April 22, 1986
INNOVATIVE EQUITIES CORPORATION
April 27, 1984 - November 7, 1984
MONVEST SECURITIES, INC.
February 15, 1983 - October 23, 1984
KOBRIN SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
INNOVATIVE EQUITIES CORPORATION
CRD#: 15728 / SEC#: , 8-32647
Contact information
Documents
Red Flags
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