Leon E. Huffman
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.
Leon Evans Huffman was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1987. Leon had worked at 8 firms and has passed the SIE, 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 24, 2016 - June 18, 2021
THE LEADERS GROUP, INC.
July 2, 2013 - June 28, 2016
FIRST HEARTLAND CONSULTANTS, INC.
April 10, 2013 - June 28, 2016
FIRST HEARTLAND CAPITAL, INC.
January 1, 2004 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
July 25, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
September 23, 1998 - July 26, 2002
LIFEMARK SECURITIES CORP.
September 10, 1998 - September 18, 1998
CAPITAL BROKERAGE CORPORATION
July 22, 1987 - October 4, 1988
OSAIC FS, 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
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
