Paul T. Leming
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.
Paul Thomas Leming was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 6 firms and has passed the Series 63, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - January 31, 2012
TICONDEROGA SECURITIES LLC
July 29, 2004 - June 6, 2011
SOLEIL SECURITIES CORPORATION
April 30, 2001 - April 18, 2002
ABN AMRO INCORPORATED
June 17, 1999 - April 30, 2001
ABN AMRO SECURITIES LLC
March 25, 1999 - July 20, 1999
HSBC SECURITIES (USA) INC.
November 16, 1988 - July 26, 1991
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Exams
Current Firm
TICONDEROGA SECURITIES LLC
CRD#: 7671 / SEC#: , 8-22871
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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