Earl S. Freeman
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.
Earl Stephen Freeman was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1984. Earl had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 22, Series 6, Series 53 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
December 10, 2013 - June 18, 2014
INVESTMENT & ASSET PLANNING, LLC
August 13, 2002 - January 3, 2022
LEO BROKERAGE, LLC
January 16, 2002 - January 3, 2022
LEO BROKERAGE, LLC
March 17, 2000 - December 31, 2006
PROFESSIONAL PARTNERS CORPORATION
April 21, 1999 - March 19, 2002
WORLD CHOICE SECURITIES, INC.
April 17, 1995 - April 20, 1999
SECURITIES AMERICA, INC.
February 7, 1992 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
March 13, 1985 - April 27, 1995
IDS LIFE INSURANCE COMPANY
January 9, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 9, 1985 - April 27, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
September 12, 1984 - April 27, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
INVESTMENT & ASSET PLANNING, LLC
CRD#: 109119 / SEC#: 801-56342
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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