Kathleen A. Leonard
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.
Kathleen A Leonard, who also goes by Kathleen Ann Leonard, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 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
April 25, 2024 - December 31, 2024
DISTRIBUTION SERVICES, LLC
August 12, 2006 - April 19, 2023
UBS FINANCIAL SERVICES INC.
August 12, 2006 - June 7, 2023
UBS FINANCIAL SERVICES INC.
January 3, 2006 - August 12, 2006
PIPER SANDLER & CO.
January 3, 2006 - August 12, 2006
PIPER SANDLER & CO.
November 5, 2003 - December 31, 2005
WALNUT STREET SECURITIES, INC.
June 27, 2003 - December 31, 2005
WALNUT STREET SECURITIES, INC.
November 18, 2002 - June 20, 2003
WALNUT STREET ADVISERS INC
August 12, 1999 - December 31, 2005
FIRST AFFIRMATIVE FINANCIAL NETWORK LLC
May 2, 1999 - December 31, 2005
LEONARD FINANCIAL, LTD. D/B/A-CENTER FOR RESPONSIBLE INVESTING
May 4, 1993 - June 20, 2003
WALNUT STREET SECURITIES, INC.
September 4, 1990 - May 20, 1993
WELLS FARGO CLEARING SERVICES, LLC
June 26, 1989 - September 4, 1990
BOETTCHER & COMPANY, INC.
February 15, 1988 - July 19, 1989
LEHMAN BROTHERS INC.
November 21, 1984 - February 15, 1988
E. F. HUTTON & COMPANY 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
DISTRIBUTION SERVICES, LLC
CRD#: 25938 / SEC#: , 8-42106
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | VP, CHIEF COMPLIANCE OFFICER | 2990648 |
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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