Ivy L. Leach
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.
Ivy Laurel Leach, who also goes by IVy Laurel Douglas, Ivy Douglas, Ivy Douglasleach, was a registered financial professional .
Ivy is a previously registered financial professional and started their career in finance in 1983. Ivy had worked at 8 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 2011 - September 30, 2014
FORESTERS EQUITY SERVICES, INC.
July 21, 2011 - September 30, 2014
FORESTERS EQUITY SERVICES, INC.
September 24, 2004 - July 21, 2011
NEXT FINANCIAL GROUP, INC.
January 8, 2004 - July 21, 2011
NEXT FINANCIAL GROUP, INC.
December 1, 1997 - December 31, 2003
CAPITAL BROKERAGE CORPORATION
March 7, 1996 - December 1, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
March 13, 1995 - March 8, 1996
MONY SECURITIES CORPORATION
October 19, 1988 - February 28, 1995
METROPOLITAN LIFE INSURANCE COMPANY
October 19, 1988 - February 28, 1995
MSI FINANCIAL SERVICES, INC.
July 22, 1983 - October 11, 1988
PRUCO SECURITIES, LLC.
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
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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