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JE

Jeffrey A. Egan

Some features on this profile are disabled
CRD#: 1306894
JE

Professional summary

Jeffrey Alexander Egan was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Jeffrey had worked at 9 firms, which includes LEONARD & COMPANY, EAST - WEST CAPITAL CORPORATION, RAYMOND JAMES FINANCIAL SERVICES INC., MARINER FINANCIAL SERVICES INC., QUESTOR FINANCIAL SERVICES, CRANE & CO. SECURITIES INCORPORATED, MORGAN STANLEY DW INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey A Egan

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 27, 1994 - October 14, 1996

LEONARD & COMPANY

BD
CRD#: 36527
TROY, MI
Past

July 14, 1992 - November 23, 1994

EAST - WEST CAPITAL CORPORATION

BD
CRD#: 16348
Past

November 17, 1989 - July 23, 1992

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

August 1, 1989 - November 29, 1989

MARINER FINANCIAL SERVICES, INC.

BD
CRD#: 8292
LARGO, FL
Past

December 13, 1988 - August 1, 1989

QUESTOR FINANCIAL SERVICES

BD
CRD#: 17934
Past

August 17, 1988 - November 17, 1988

CRANE & CO. SECURITIES INCORPORATED

BD
CRD#: 16923
Past

May 17, 1988 - August 8, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 20, 1987 - May 24, 1988

CRANE & CO. SECURITIES INCORPORATED

BD
CRD#: 16923
Past

November 26, 1984 - July 14, 1988

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

November 26, 1984 - July 14, 1988

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/13/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/1984
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/6/1991
General Securities Principal Examination

Current Firm

L&
LEONARD & COMPANY
CAMBRIDGE CAPITAL MANAGEMENT, INC. | WEALTH LINK, A DIVISION OF LEONARD & COMPANY | THE MANN GROUP, A DVISION OF LEONARD & COMPANY | THE MANN GROUP, A DIVISION OF LEONARD & COMPANY | THE AGBAY GROUP, A DIVISION OF LEONARD & COMPANY | STRATEGIC ASSET ADVISORS, A DIVISION OF LEONARD & COMPANY | QUARTON PARTNERS, A DIVISION OF LEONARD & COMPANY | PLUMMER MCINERNEY GROUP WEALTH MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD FINANCIAL CORPORATION | LEONARD CAPITAL MARKETS, A DIVISION OF LEONARD & COMPANY | LEONARD ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | LEONARD AND COMPANY | LEONARD & COMPANY | GREAT LAKES BAY FINANCIAL, A DIVISION OF LEONARD & COMPANY | DARVIN ASSET MANAGEMENT, A DIVISION OF LEONARD & COMPANY | CCM FINANCIAL CORPORATION

CRD#: 36527 / SEC#: 801-60035, 8-47298

BD
Terminated by SEC on 09/18/2012
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Michigan since 10/18/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

LEONARD & COMPANY (3/29/2012)
SAA (3/29/2012)
WEALTH LINK (3/29/2012)
AGBAY GROUP (3/29/2012)
WRAP FEE BROCHURE (3/29/2012)

Direct owners and executive officers

NamePositionCRD#
LEONARD-FRENCH HOLDINGS, INC.OWNER
FRENCH, DAINFORTH BAKER JRPRESIDENT, CHIEF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER2406891
WEBER, DAVID KEITHCHIEF FINANCIAL OFFICER/FIN OP4797454

Disclosures

Regulatory Event13
Arbitration2

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.

Company Information

LEONARD & COMPANY

CRD#: 36527

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