Floyd R. Farleigh
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.
Floyd Randolph Farleigh, who also goes by Booty Farleigh, was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1970. Floyd had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 1985 - May 10, 1989
INVESTORS SECURITY COMPANY, INC.
June 13, 1983 - November 1, 1985
HI SECURITIES, INC.
February 19, 1980 - April 4, 1980
INVESTORS SECURITY COMPANY, INC.
November 2, 1971 - April 7, 1980
IRG SECURITIES, INC.
June 25, 1970 - March 4, 1972
PLA 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
Series 1
Date: 6/17/1970
Registered Representative ExaminationCurrent Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 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.
