Jerard Basmagy
Professional summary
Jerard Basmagy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jerard is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Jerard had worked at 22 firms, which includes LEONARD SECURITIES INC, BA SECURITIES LLC, CW SECURITIES LLC, LANDOAK SECURITIES LLC, CHARDAN CAPITAL MARKETS LLC, FARRAND INVESTMENT BANKERS, RIVERBANK CAPITAL SECURITIES INC., NAFA CAPITAL MARKETS LLC, TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES LLC, TEACHERS PERSONAL INVESTORS SERVICES INC., RED-HORSE SECURITIES LLC, FIRST MONTAUK SECURITIES CORP., WALSH MANNING SECURITIES LLC, FIRST PROVIDENCE FINANCIAL GROUP LLC, MAIDSTONE FINANCIAL INC., EQUUS FINANCIAL GROUP INC., THE WELLINGTON GROUP INC., LEHMAN BROTHERS INC., HASAN GROWNEY CO. INC., J F LOWE & COMPANY INCORPORATED, GREENTREE SECURITIES CORP., BROOKS WEINGER ROBBINS & LEEDS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - February 23, 2015
LEONARD SECURITIES, INC
March 6, 2014 - December 31, 2016
BA SECURITIES, LLC
April 16, 2008 - August 7, 2017
CW SECURITIES, LLC
November 15, 2006 - February 14, 2007
LANDOAK SECURITIES, LLC
May 2, 2006 - June 28, 2017
CHARDAN CAPITAL MARKETS LLC
January 3, 2006 - November 17, 2006
FARRAND INVESTMENT BANKERS
September 15, 2005 - February 5, 2008
RIVERBANK CAPITAL SECURITIES, INC.
May 24, 2005 - August 13, 2007
NAFA CAPITAL MARKETS, LLC
April 21, 2005 - October 6, 2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 21, 2005 - October 6, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
January 5, 2005 - January 31, 2005
RED-HORSE SECURITIES, LLC
April 16, 2002 - December 7, 2004
RED-HORSE SECURITIES, LLC
February 11, 1999 - April 17, 2002
FIRST MONTAUK SECURITIES CORP.
July 28, 1997 - July 14, 1998
WALSH MANNING SECURITIES, LLC
May 20, 1997 - July 25, 1997
FIRST PROVIDENCE FINANCIAL GROUP, LLC
May 3, 1994 - April 16, 1997
MAIDSTONE FINANCIAL, INC.
August 10, 1993 - December 16, 1993
EQUUS FINANCIAL GROUP, INC.
June 1, 1992 - June 30, 1993
THE WELLINGTON GROUP, INC.
October 10, 1991 - March 26, 1992
LEHMAN BROTHERS INC.
March 13, 1990 - May 1, 1991
HASAN GROWNEY CO. INC.
January 17, 1989 - December 5, 1989
J F LOWE & COMPANY INCORPORATED
January 4, 1988 - November 29, 1988
GREENTREE SECURITIES CORP.
November 10, 1987 - March 5, 1988
BROOKS WEINGER ROBBINS & LEEDS INC.
May 21, 1985 - October 28, 1987
LEHMAN BROTHERS 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: 7/8/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 5/31/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LEONARD SECURITIES, INC
CRD#: 43176 / SEC#: , 8-50167
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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