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ML

Michael Leahy

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CRD#: 1899498
ML

Professional summary

Michael Leahy was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Michael is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Michael had worked at 9 firms, which includes FIRST STANDARD FINANCIAL COMPANY LLC, ALEXANDER CAPITAL L.P., BROOKSTONE SECURITIES INC., J.P. TURNER & COMPANY L.L.C., NEWBRIDGE SECURITIES CORPORATION, LH ROSS & COMPANY INC., FIRST MONTAUK SECURITIES CORP., J.W. BARCLAY & CO. INC., PLATINUM EQUITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael William Leahy | Michael Leahy | Mike Leahy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 14, 2017 - December 31, 2019

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
RED BANK, NJ
Past

December 1, 2015 - December 15, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
STATEN ISLAND, NY
Past

June 18, 2012 - February 6, 2014

ALEXANDER CAPITAL, L.P.

BD
CRD#: 40077
STATEN ISLAND, NY
Past

March 24, 2011 - June 20, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
STATEN ISLAND, NY
Past

October 24, 2008 - March 15, 2011

J.P. TURNER & COMPANY, L.L.C.

BD
CRD#: 43177
RED BANK, NJ
Past

October 22, 2004 - October 24, 2008

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
MATAWAN, NJ
Past

June 17, 2004 - December 17, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

January 18, 2001 - June 18, 2004

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

March 9, 2000 - January 26, 2001

J.W. BARCLAY & CO., INC.

BD
CRD#: 23350
WOODBRIDGE, NJ
Past

July 27, 1998 - October 7, 1998

PLATINUM EQUITIES, INC.

BD
CRD#: 36347
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/20/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/29/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/2005
General Securities Principal Examination

Current Firm

FS
FIRST STANDARD FINANCIAL COMPANY LLC
FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340 / SEC#: , 8-69300

BD
Terminated by SEC on 01/04/2020
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 03/19/2013
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CARL STANDARD AND CO. HOLDINGS LLCDIRECT OWNER

Disclosures

Regulatory Event4
Civil Event1
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

FIRST STANDARD FINANCIAL COMPANY LLC

CRD#: 168340

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