Leeta J. Rupke
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.
Leeta Joann Rupke, who also goes by Leeta Joann Michael, was a registered financial professional .
Leeta is a previously registered financial professional and started their career in finance in 1986. Leeta had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2006 - December 31, 2013
FIRST ASSET FINANCIAL INC.
January 3, 2000 - July 27, 2006
IRON STREET SECURITIES INC.
November 24, 1997 - January 3, 2000
AMERICAN HEARTLAND INVESTMENTS INC.
May 19, 1992 - November 24, 1997
SUNAMERICA SECURITIES, INC.
November 5, 1991 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 19, 1986 - October 8, 1991
WADDELL & REED
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
FIRST ASSET FINANCIAL INC.
CRD#: 139107 / SEC#: , 8-67191
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
