Leonard R. Berry
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 Ray Berry was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1985. Leonard had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 52TO, SIE, Series 50, Series 7, Series 14, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 6, 2003 - February 10, 2025
BACKSTROM MCCARLEY BERRY & CO., LLC
February 27, 1999 - March 17, 2003
THE CHAPMAN CO.
January 10, 1997 - February 14, 2000
CHAPMAN ON-LINE, INC
July 20, 1995 - February 18, 1997
FIRST COMMONWEALTH SECURITIES CORPORATION
March 5, 1987 - December 20, 1994
DANIELS & BELL, INC.
July 17, 1985 - January 1, 1987
MARTIN NELSON & CO., 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BACKSTROM MCCARLEY BERRY & CO., LLC
CRD#: 124503 / SEC#: , 8-65679
Contact information
FINRA licenses (24 States and Territories)
Documents
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.
