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LO

Leah M. Overhand

R.W. SMITH & ASSOCIATES
Avenel, NJ 07001
Some features on this profile are disabled
CRD#: 1934578
LO

Professional summary

Leah Marie Overhand, who also goes by Leah Marie Dunn, Leah Dunn, is a registered financial professional currently at R.W. SMITH & ASSOCIATES, LLC located in Avenel, New Jersey.

Leah is registered as a RR (Registered Representative) and started their career in finance in 2008. Leah has worked at 1 firm and has passed the Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leah Marie Dunn | Leah Dunn

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) - BD

Click below to view Leah Marie Overhand's CRS (Customer Relationship Summary).

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

Current

April 23, 2008 - Present

R.W. SMITH & ASSOCIATES, LLC

Office #1: 1030 St. Georges Ave. Suite 304, Avenel, NJ 07001
BD
CRD#: 16605
Avenel, NJ

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RS
R.W. SMITH & ASSOCIATES, LLC
R.W. SMITH & ASSOCIATES, INC. | R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605 / SEC#: , 8-34240

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Ste 1500, Jersey City, NJ 07310
Phone number
(201) 716-5150
Established
New Jersey since 05/12/2014
Firm type
Limited Liability Company
Fiscal year end
April
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TOWN SQUARE HOLDING, LLCMANAGING MEMBER
FERRERI, CHRISTOPHER CHARLESPRESIDENT1677406
GEORGE, MICHAEL THEODOREFINOP1265239
PURPORA, RONALD ANTHONYDIRECTOR1665726
RASMUSSEN, DENIEN LYNNCOO, CCO1008607
SMITH, EDWARD JOHNOWNER4161601

Disclosures

Regulatory Event1

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.

Company Information

R.W. SMITH & ASSOCIATES, LLC

CRD#: 16605Avenel, NJ 07001

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