Audrey P. Leas
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.
Audrey Parker Leas was a registered financial professional .
Audrey is a previously registered financial professional and started their career in finance in 1987. Audrey had worked at 13 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
May 4, 2012 - December 31, 2012
BROKER DEALER FINANCIAL SERVICES CORP.
November 10, 2005 - May 19, 2010
SUMMIT BROKERAGE SERVICES, INC.
November 9, 2004 - January 21, 2005
FFP SECURITIES, INC.
October 30, 2002 - November 29, 2002
RYAN BECK & CO.
May 9, 1996 - October 11, 2002
RAYMOND JAMES & ASSOCIATES, INC.
May 9, 1996 - October 11, 2002
RAYMOND JAMES & ASSOCIATES, INC.
February 15, 1996 - May 13, 1996
ADVEST, INC.
March 16, 1994 - August 18, 1994
D. BLECH & COMPANY, INCORPORATED
July 12, 1993 - November 29, 1995
TD AMERITRADE, INC.
April 5, 1993 - May 5, 1993
BILTMORE SECURITIES, INC.
September 16, 1992 - January 25, 1993
GRUNTAL & CO., L.L.C.
April 30, 1992 - September 24, 1992
BILTMORE SECURITIES, INC.
September 4, 1990 - September 14, 1990
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
January 19, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
September 24, 1987 - January 31, 1989
GRUNTAL & CO., L.L.C.
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
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
