Thomas F. Leahy
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.
Thomas Francis Leahy was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 18 firms and has passed the Series 63, Series 3, Series 7 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
August 22, 2002 - April 11, 2003
J.P. TURNER & COMPANY, L.L.C.
May 14, 2002 - January 27, 2003
PLATINUM INVESTMENT CORP.
March 19, 2002 - May 10, 2002
DPEC CAPITAL, INC.
December 13, 2000 - January 23, 2002
DPEC CAPITAL, INC.
July 6, 2000 - December 5, 2000
DIRKS & COMPANY, INC.
September 28, 1998 - June 16, 2000
LCP CAPITAL CORP.
July 24, 1998 - August 10, 1998
NATIONAL SECURITIES CORPORATION
March 28, 1996 - July 24, 1998
THE BOSTON GROUP
May 11, 1995 - February 22, 1996
BLUESTONE CAPITAL CORP.
January 25, 1995 - May 2, 1995
FAB SECURITIES OF AMERICA, INC.
November 4, 1994 - December 14, 1994
WEATHERLY SECURITIES CORPORATION
July 7, 1994 - September 16, 1994
NICHOLS, SAFINA, LERNER & CO. INC.
January 28, 1994 - April 13, 1994
H.J. MEYERS & CO., INC.
March 31, 1993 - November 29, 1993
LCP CAPITAL CORP.
August 31, 1992 - February 25, 1993
LEHMAN BROTHERS INC.
March 1, 1990 - August 31, 1992
GRUNTAL & CO., L.L.C.
March 20, 1989 - March 15, 1990
RODMAN & RENSHAW INC.
January 11, 1988 - March 4, 1989
FINANCIAL SQUARE PARTNERS
January 27, 1986 - March 8, 1988
CIBC WORLD MARKETS CORP.
May 1, 1984 - February 7, 1986
LEHMAN BROTHERS INC.
December 21, 1983 - April 6, 1984
KIDDER, PEABODY & CO. INCORPORATED
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
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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