David L. Leonard
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.
David Lindsay Leonard SR, who also goes by David L Leonard, David Lindsay Leonard, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 9 firms and has passed the Series 65, Series 63, 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
December 5, 2007 - May 24, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
August 10, 2005 - December 3, 2007
FINANCIAL SECURITY ADVISORY INC
August 10, 2005 - December 3, 2007
FINANCIAL SECURITY MANAGEMENT, INCORPORATED
August 29, 2003 - July 7, 2005
BRECEK & YOUNG ADVISORS, INC.
June 13, 2003 - July 7, 2005
BRECEK & YOUNG ADVISORS, INC.
July 7, 1997 - July 31, 2003
DUKES & CO ADVISORY, INC.
May 19, 1997 - July 1, 2003
OSAIC WEALTH, INC.
March 22, 1995 - May 20, 1997
DAVENPORT-DUKES FINANCIAL SERVICES, INC.
October 5, 1992 - March 23, 1995
OSAIC WEALTH, INC.
July 15, 1991 - October 6, 1992
ENERIC FINANCIAL SERVICES, INC.
November 19, 1989 - June 24, 1991
OSAIC WEALTH, INC.
April 20, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
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
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
