Leslie I. Loveland
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.
Leslie Irving Loveland, who also goes by Leslie I Loveland, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1987. Leslie had worked at 9 firms and has passed the Series 63, Series 79TO, SIE 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
March 14, 2008 - June 10, 2021
R.W.PRESSPRICH & CO.
February 14, 2005 - August 14, 2007
JEFFERIES LLC
May 4, 2004 - December 14, 2004
COUNTRYWIDE SECURITIES CORPORATION
December 12, 2000 - May 3, 2004
MIZUHO SECURITIES USA LLC
December 5, 1996 - November 28, 2000
PRUDENTIAL EQUITY GROUP, LLC
February 25, 1994 - December 18, 1996
YAMAICHI INTERNATIONAL (AMERICA) INC.
January 18, 1989 - February 22, 1994
TULLETT LIBERTY BROKERAGE INC.
January 19, 1988 - November 15, 1988
THE BROKERAGE CORPORATION OF AMERICA, INC.
July 25, 1987 - January 1, 1988
FUNDAMENTAL BROKERS
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
R.W.PRESSPRICH & CO.
CRD#: 26460 / SEC#: , 8-42547
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAPPA, EDWARD JOSEPH | CHAIRMAN (04/2009) AND CHIEF EXECUTIVE OFFICER (04/1990) | 371101 |
| CALVO, JOSEPH ANTHONY JR | DIRECTOR (01/2006), SENIOR MANAGING DIRECTOR (10/2018), PRESIDENT (04/2009) AND CHIEF OPERATING OFFICER (04/2009) | 1391692 |
| CARROLL, JOHN EDWARD III | DIRECTOR (06/2009), SENIOR MANAGING DIRECTOR (10/2018) AND CHIEF ADMINISTRATIVE OFFICER (10/2021) | 2134481 |
| BURNS, TIMOTHY LEE | SENIOR MANAGING DIRECTOR (10/2018), DIRECTOR, AND, CCO (07/2022) | 36429 |
| CAUMARTIN, RENAUD | BOARD MEMBER | 3266876 |
| CHEN, WAYNE H | FINOP | 4779449 |
Disclosures
| Regulatory Event | 4 |
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.
