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LK

Leonard Kahn

CRD# 1184177·Registered 1983 - 2008
Previously Registered: Being a previously registered professional could mean that Leonard 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.

Professional Summary

Leonard Kahn, who also goes by Lenny Kahn, was a registered financial advisor. Leonard was a previously registered financial professional and started their career in finance 1983 - 2008. Leonard had worked at 14 firms and has passed the Series 63, Series 7, Series 53, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Lenny Kahn

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

R.W. TOWT & ASSOCIATES·CRD# 128837
BD
San Diego, CA
December 5, 2005 - September 9, 2008
STANDARD INVESTMENT CHARTERED INCORPORATED·CRD# 23505
BD
Newport Beach, CA
April 30, 1997 - December 3, 2003
FSC SECURITIES CORPORATION·CRD# 7461
BD
Atlanta, GA
August 16, 1995 - April 14, 1998
CORPORATE BENEFIT SECURITIES, INC.·CRD# 13975
BD
Mission Viejo, CA
June 10, 1991 - August 16, 1995
ROSE SECURITIES CORPORATION·CRD# 20573
BD
September 28, 1990 - June 7, 1991
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
February 7, 1990 - June 26, 1990
FIRST AFFILIATED SECURITIES·CRD# 23737
BD
La Jolla, CA
November 21, 1989 - February 6, 1990
RESOURCE MANAGEMENT ASSOCIATES, GSI·CRD# 20461
BD
April 7, 1989 - October 31, 1989
FIRST NORTHERN SECURITIES, INC.·CRD# 20883
BD
May 31, 1988 - April 4, 1989
MCG PORTFOLIO MANAGEMENT CORP.·CRD# 7070
BD
November 21, 1986 - May 26, 1988
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
August 2, 1985 - November 21, 1986
J.P. MORGAN SECURITIES LLC·CRD# 79
BD
December 20, 1984 - July 29, 1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED·CRD# 793
BD
March 15, 1984 - February 28, 1985
RAUSCHER PIERCE REFSNES, INC.·CRD# 6663
BD
September 22, 1983 - February 16, 1984

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Current Firm

RT
R.W. TOWT & ASSOCIATES

R.W. TOWT & ASSOCIATES

CRD#: 128837 / SEC#: 8-66182
BD
Cancelled by SEC on 08/12/2014

Contact Information

Established

California since 01/08/2002

Firm Type

Corporation

Fiscal Year End

December

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TOWT, RICHARD WARRENPRESIDENT, CFO, DIR.CCO448621
MICHAUD, MICHAEL PATRICKGENERAL SECURITIES PRINCIPAL, MUNICIPAL SECURITIES PRINCIPAL863917

Disclosures

Regulatory Event

8

Arbitration

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1983About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Sep 1983About the Series 7 exam

Series 53 — Municipal Securities Principal Examination

Passed Nov 1990About the Series 53 exam

Series 27 — Financial and Operations Principal Examination

Passed Feb 1989About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Nov 1987About the Series 24 exam

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CRS (Client Relationship Summary)

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

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