Karl D. Leonard
Professional summary
Karl D. Leonard, who also goes by Karl Leonard, Karl Delane Leonard, is a registered financial professional currently at CABOT LODGE SECURITIES LLC located in New Caney, Texas.
Karl is registered as a RR (Registered Representative) and started their career in finance in 1987. Karl has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 3 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Karl D. Leonard's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2019 - Present
CABOT LODGE SECURITIES LLC
February 7, 2017 - September 27, 2019
IFS SECURITIES
August 9, 2013 - December 19, 2016
EDWARD JONES
August 9, 2013 - December 19, 2016
EDWARD JONES
February 25, 2013 - May 6, 2013
SANDLAPPER WEALTH MANAGEMENT, LLC
August 26, 2011 - May 6, 2013
SANDLAPPER SECURITIES, LLC
February 15, 2002 - August 30, 2011
NEXT FINANCIAL GROUP, INC.
April 18, 1995 - March 12, 2002
RAYMOND JAMES & ASSOCIATES, INC.
August 31, 1993 - December 31, 1994
MOMENTUM INDEPENDENT NETWORK INC.
September 24, 1987 - December 10, 1991
LEHMAN BROTHERS 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
(9/25/2019)
(9/25/2019)
(6/7/2024)
(9/30/2019)
(9/25/2019)
(10/21/2021)
(9/30/2019)
(9/25/2019)
(1/14/2021)
(9/25/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 7/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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