Leona P. Fisher
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.
Leona P Fisher, who also goes by Leona M Fisher, Leona M Pancoast, Leona Pancoast, was a registered financial professional .
Leona is a previously registered financial professional and started their career in finance in 1986. Leona had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2017 - May 21, 2018
RESOURCE SECURITIES LLC
September 15, 2010 - February 9, 2015
AMG DISTRIBUTORS, INC.
June 18, 1987 - September 21, 2009
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 4, 1986 - April 20, 1987
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
RESOURCE SECURITIES LLC
CRD#: 133022 / SEC#: , 8-66669
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAI VENTURES LLC | SOLE SHAREHOLDER | |
| BLOCK, LAWRENCE STEVEN | PRESIDENT, CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER | 3006613 |
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.
