Leonard W. Van Riper
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.
Leonard William Van Riper, who also goes by Len Vanriper, Lenny Vanriper, Leonard William Vanriper, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1988. Leonard had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2016 - December 31, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
September 12, 2014 - February 26, 2016
STONEX SECURITIES INC.
July 12, 2007 - September 12, 2014
WRP INVESTMENTS, INC.
November 2, 2006 - July 12, 2007
FIRST MIDWEST SECURITIES, INC.
November 3, 2004 - November 9, 2006
NEW ENGLAND SECURITIES
May 9, 1995 - November 23, 2004
CARILLON INVESTMENTS, INC.
October 29, 1993 - May 11, 1995
INVESTORS CAPITAL CORP.
January 22, 1988 - October 26, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
