Leonard J. Deroma

HCC SECURITIES GROUP,

Jenkintown (montgomery), PA 19046

Some features on this profile are disabled

CRD#: 1490388

Professional summary

Leonard James Deroma is a registered financial professional currently at HCC SECURITIES GROUP, INC located in Jenkintown (montgomery), Pennsylvania.

Leonard is registered as a RR (Registered Representative) and started their career in finance in 1986. Leonard has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leonard James Deroma's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 19, 2016 - Present

HCC SECURITIES GROUP, INC

Office #1: 261 Old York Rd # 823a, Jenkintown (montgomery), PA 19046

CRD#: 16861

Jenkintown (montgomery), PA

Past

December 18, 2004 - May 22, 2014

M BARC INVESTMENT GROUP, INC.

CRD#: 41082

COLLEGEVILLE, PA

Past

March 4, 2003 - September 15, 2003

GREENWICH GLOBAL, LLC

CRD#: 37304

WILTON, CT

Past

March 27, 2000 - July 19, 2001

TRADE.COM ONLINE SECURITIES, INC.

CRD#: 36189

NEW YORK, NY

Past

October 23, 1997 - May 31, 2000

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

Past

July 18, 1988 - February 12, 1997

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

July 20, 1987 - July 15, 1988

MORGAN STANLEY DW INC.

CRD#: 7556

Past

April 23, 1986 - August 4, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/23/2017)

Georgia
(8/24/2023)

New York
(2/23/2017)

Pennsylvania
(12/2/2016)

Texas
(6/24/2019)

Exams

State Security Law Exam

Series 63

Date: 4/19/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/18/1989

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/28/1989

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

HCC SECURITIES GROUP, INC

HCC SECURITIES GROUP, INC | PARK CITY CAPITAL, INC.

CRD#: 16861 / SEC#: , 8-34645

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

261 Old York Rd # 823a, Jenkintown (montgomery), PA 19046

Mailing Address

261 Old York Rd #823 A, Jenkintown (montgomery), PA 19046

Phone number

(215) 517-5700

Established

Delaware since 02/08/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SEGAL, STEVEN ALAN	PRESIDENT	418012
SEGAL, STEVEN ALAN	CEO, CHIEF COMPLIANCE OFFICER	418012
HCC RICH CAPITAL HOLDINGS, LTD	SHARE HOLDER

Disclosures

Regulatory Event

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.

Similar Advisors

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leonard J. Deroma

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leonard James Deroma's CRS (Customer Relationship Summary).

Certified licenses

Experience

M BARC INVESTMENT GROUP, INC.

GREENWICH GLOBAL, LLC

TRADE.COM ONLINE SECURITIES, INC.

KEYBANC CAPITAL MARKETS INC.

BARCLAYS CAPITAL INC.

MORGAN STANLEY DW INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/2017

SIE

Date: 10/1/2018

Series 3

Date: 12/18/1989

Series 7

Date: 4/19/1986

Series 24

Date: 7/28/1989

FINRA

Current Firm

HCC SECURITIES GROUP, INC

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HCC SECURITIES GROUP, INC

TRUST BUT VERIFY

Similar Advisors