Leonard D. Hall
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.
Leonard Dee Hall was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 2 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 1984 - January 26, 1989
ALPINE SECURITIES CORPORATION
February 24, 1984 - March 27, 1984
VENHU SECURITIES INC.
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
ALPINE SECURITIES CORPORATION
CRD#: 14952 / SEC#: , 8-31464
Contact information
FINRA licenses (49 States and Territories)
Disclosures
| Regulatory Event | 45 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
