Chad A. Leat
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.
Chad Alan Leat, who also goes by Chad A Leat, was a registered financial professional .
Chad is a previously registered financial professional and started their career in finance in 1990. Chad had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - June 30, 2017
YOUNG AMERICA CAPITAL, LLC
October 8, 1998 - December 18, 1998
CITICORP SECURITIES, INC.
September 1, 1998 - May 9, 2013
CITIGROUP GLOBAL MARKETS INC.
March 24, 1997 - September 1, 1998
SALOMON BROTHERS INC.
April 1, 1996 - March 25, 1997
J.P. MORGAN SECURITIES INC.
September 13, 1990 - April 1, 1996
CHASE SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
