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Harry D. Cavallaris

Some features on this profile are disabled
CRD#: 1955887
HC

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.

Harry Demetre Cavallaris was a registered financial professional .

Harry is a previously registered financial professional and started their career in finance in 1989. Harry had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

June 23, 1998 - September 18, 2000

LEADER INVESTMENTS, INC.

BD
CRD#: 42927
PALATINE, IL
Past

July 14, 1997 - May 19, 1998

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY
Past

April 12, 1995 - June 24, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 15, 1993 - February 27, 1995

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

March 15, 1993 - February 27, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 1, 1989 - August 5, 1989

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

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
IAR
Series 65
Date: 5/11/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/4/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/28/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/30/1989
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LI
LEADER INVESTMENTS, INC.
LEADER INVESTMENTS, INC.

CRD#: 42927 / SEC#: , 8-50102

BD
Terminated by SEC on 11/12/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 08/18/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ABOOBACKER, PUTANKOTE VADAKEVETILDIRECTOR2562974
FAWD, MOHAMMED ILYASDIRECTOR2562973
KAPSCH, RICHARD JOSEPH SRPRESIDENT/DIRECTOR876560
KAPSCH, RICHARD JOSEPH JRCHIEF COMPLIANCE OFFICER2113231

Disclosures

Regulatory Event1
Arbitration1

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

LEADER INVESTMENTS, INC.

CRD#: 42927

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