Leonard D. Rauner
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 David Rauner was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1984. Leonard had worked at 5 firms and has passed the Series 65, Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2013 - December 31, 2017
TRIDELTA CAPITAL ADVISORS LLC
September 8, 2000 - October 11, 2005
FIRST NEW YORK SECURITIES L.L.C.
June 27, 1991 - July 28, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 1989 - July 18, 1991
CIBC WORLD MARKETS CORP.
March 19, 1984 - April 20, 1989
MORGAN STANLEY DW 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
Series 55
Date: 9/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRIDELTA CAPITAL ADVISORS LLC
CRD#: 168784 / SEC#:
Contact information
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.
