Sammy D. Tally
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.
Sammy Doyal Tally was a registered financial professional .
Sammy is a previously registered financial professional and started their career in finance in 1988. Sammy had worked at 6 firms and has passed the Series 65, Series 63, 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
August 13, 2002 - May 18, 2019
LEO BROKERAGE, LLC
January 16, 2002 - May 18, 2019
LEO BROKERAGE, LLC
March 17, 2000 - December 31, 2006
PROFESSIONAL PARTNERS CORPORATION
May 7, 1999 - December 31, 2001
WORLD CHOICE SECURITIES, INC.
April 17, 1995 - May 28, 1999
SECURITIES AMERICA, INC.
February 7, 1992 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
April 20, 1988 - April 19, 1995
AMERIPRISE FINANCIAL 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
Current Firm
LEO BROKERAGE, LLC
CRD#: 109121 / SEC#: 801-57022, 8-53487
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
