Leroy A. Probst
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.
Leroy Alton Probst was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1989. Leroy had worked at 5 firms and has passed the Series 63 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
June 3, 2013 - November 1, 2013
SAFEGUARD SECURITIES, INC.
October 25, 2001 - November 1, 2013
AMERICA NORTHCOAST SECURITIES, INC.
February 27, 1991 - October 16, 2001
FIFTH THIRD/MAXUS SECURITIES INC
September 4, 1990 - February 14, 1991
WELLS FARGO CLEARING SERVICES, LLC
June 20, 1989 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
Primary Firm SEC Registration
SAFEGUARD SECURITIES, INC.
CRD#: 31256 / SEC#: 801-67475, 8-45442
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
SAFEGUARD SECURITIES, INC.
CRD#: 31256 / SEC#: 801-67475, 8-45442
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 157 |
| AUM (Assets Under Management) | $ 1,305,499,514 |
Disclosures
| Regulatory Event | 2 |
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.
