Leroy E. Pritchard
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 Edward Pritchard, who also goes by Roy Pritchard, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1990. Leroy had worked at 6 firms and has passed the Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 15, 1992 - June 1, 1993
WELLINGTON ASHFORD CAPITAL, INC.
September 4, 1992 - September 4, 1992
WELLINGTON ASHFORD CAPITAL, INC.
April 7, 1992 - September 9, 1992
TOUCHSTONE CAPITAL CORPORATION
March 31, 1992 - April 13, 1992
TEXAKOMA FINANCIAL, INC.
July 30, 1991 - December 23, 1991
HORIZON CAPITAL, INCORPORATED
December 10, 1990 - June 24, 1991
JM SECURITIES, INC.
April 17, 1990 - September 7, 1990
MID-AMERICA SECURITIES 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
WELLINGTON ASHFORD CAPITAL, INC.
CRD#: 29298 / SEC#: , 8-44227
Contact information
Documents
Red Flags
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