Leo D. Eledge
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.
Leo D Eledge, who also goes by Leo Duane Eledge, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1987. Leo had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2022 - June 1, 2022
TD AMERITRADE, INC.
February 15, 2008 - January 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 21, 2006 - October 10, 2006
WALNUT STREET SECURITIES, INC.
October 25, 1999 - November 21, 2001
SCOTTRADE, INC.
July 11, 1997 - March 16, 1999
CHARLES SCHWAB & CO., INC.
June 21, 1996 - June 24, 1997
J.P. SECURITIES, INC.
October 31, 1995 - June 5, 1996
WWK INVESTMENTS, INC.
January 25, 1991 - May 23, 1991
OPPENHEIMER & CO. INC.
March 24, 1987 - May 13, 1988
ROBERT W. BAIRD & CO. INCORPORATED
March 24, 1987 - May 31, 1988
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 7TO
Date: 4/29/2022
General Securities Representative ExaminationSeries 8
Date: 6/15/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
