Firman Leung
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.
Firman Leung was a registered financial professional .
Firman is a previously registered financial professional and started their career in finance in 1985. Firman had worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, SIE, 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
July 8, 2021 - September 4, 2024
WEILD & CO.
June 9, 2016 - December 20, 2019
PARTNERS CAPITAL SERVICES, INC.
March 2, 2016 - December 20, 2019
AMERICAN CAPITAL PARTNERS, LLC
December 14, 2012 - December 11, 2015
REALTY CAPITAL SECURITIES, LLC
March 15, 2002 - September 13, 2012
SANDLER, O'NEILL & PARTNERS, L.P.
November 28, 1997 - November 16, 2001
CITIGROUP GLOBAL MARKETS INC.
July 15, 1994 - September 1, 1998
SALOMON BROTHERS INC.
May 18, 1991 - June 27, 1994
SERFIN SECURITIES,INC.
October 22, 1985 - March 13, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 ExaminationCurrent Firm
WEILD & CO.
CRD#: 132398 / SEC#: , 8-66593
Contact information
FINRA licenses (52 States and Territories)
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.
