Leonard E. Lundberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leonard Emil Lundberg, who also goes by Len Lundberg, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 2021 - March 10, 2021
CHELSEA FINANCIAL SERVICES
May 6, 2020 - November 27, 2020
CETERA INVESTMENT ADVISERS LLC
April 23, 2020 - November 27, 2020
CETERA FINANCIAL SPECIALISTS LLC
January 5, 2011 - March 31, 2020
WOODBURY FINANCIAL SERVICES, INC.
January 18, 2008 - December 31, 2010
WOODBURY FINANCIAL SERVICES, INC.
January 3, 2008 - March 31, 2020
WOODBURY FINANCIAL SERVICES, INC.
November 3, 2003 - December 21, 2007
LASALLE ST SECURITIES, L.L.C.
October 31, 2003 - November 24, 2003
AMERITAS INVESTMENT COMPANY, LLC
September 20, 1999 - December 17, 2003
THE ADVISORS GROUP, INC.
November 25, 1998 - October 31, 2003
THE ADVISORS GROUP, INC.
October 14, 1996 - October 24, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 23, 1984 - December 22, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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