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HL

Harry Chan Leon

CRD# 1229359·Registered 1984 - 1988
Previously Registered: Being a previously registered professional could mean that Harry 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

Harry Chan Leon was a registered financial advisor. Harry was a previously registered financial professional and started their career in finance 1984 - 1988. Harry had worked at 3 firms and has passed the Series 7, Series 27, Series 4 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

There are no additional aliases reported.

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

42 years in the financial services industry

Current & Past Employments

L'ARGENT CAPITAL INTERNATIONAL·CRD# 16600
BD
San Francisco, CA
November 11, 1985 - November 10, 1988
BORDEN SECURITIES COMPANY·CRD# 10435
BD
April 2, 1984 - April 30, 1985
APEX FINANCIAL PLANNERS CORP.·CRD# 6375
BD
January 25, 1984 - March 27, 1984

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Current Firm

LC
L'ARGENT CAPITAL INTERNATIONAL

L'ARGENT CAPITAL INTERNATIONAL | UNISOURCE INVESTMENT GROUP

CRD#: 16600 / SEC#: 8-34225
BD
Cancelled by FINRA on 11/24/1989

Contact Information

Established

California since 05/06/1985

Firm Type

Corporation

Documents

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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 7 — General Securities Representative Examination

Passed Jan 1984About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Sep 1988About the Series 27 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1988About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Sep 1985About 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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