Karl V. Leaverton
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.
Karl Vernon Leaverton was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1983. Karl had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - August 1, 2013
PIPER SANDLER & CO.
March 26, 2012 - December 14, 2015
INVESCO MANAGED ACCOUNTS, LLC
March 26, 2012 - July 17, 2013
SEATTLE-NORTHWEST SECURITIES CORPORATION
April 25, 2011 - July 21, 2011
LPL FINANCIAL LLC
April 12, 2011 - July 21, 2011
LPL FINANCIAL LLC
May 17, 2001 - April 23, 2009
RBC CAPITAL MARKETS, LLC
March 2, 1998 - April 23, 2009
RBC CAPITAL MARKETS, LLC
August 2, 1993 - March 2, 1998
DAIN RAUSCHER INCORPORATED
March 24, 1983 - August 5, 1993
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
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 15
Date: 4/19/1988
Foreign Currency Options ExaminationSeries 8
Date: 5/1/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PIPER SANDLER & CO.
CRD#: 665 / SEC#: 801-108049, 8-15204
Contact information
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
