Leonardo E. Townsend
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.
Leonardo Edward Townsend, who also goes by Leo Townsend, was a registered financial professional .
Leonardo is a previously registered financial professional and started their career in finance in 1990. Leonardo had worked at 10 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
July 24, 1997 - October 21, 1997
OAKBROOK INVESTMENT BROKERS, INC.
November 12, 1996 - June 5, 1997
CORPORATE INVESTMENTS GROUP, INC.
September 15, 1993 - November 19, 1996
OAK RIDGE INVESTMENTS, INC.
December 2, 1992 - July 19, 1993
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
June 25, 1992 - November 6, 1992
A. G. EDWARDS & SONS, INC.
November 5, 1991 - July 16, 1992
RODMAN & RENSHAW INC.
January 17, 1991 - November 19, 1991
INSIGHT SECURITIES, INC.
December 11, 1990 - August 13, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 11, 1990 - August 13, 1991
PRUCO SECURITIES, LLC.
September 7, 1990 - November 27, 1990
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, INC.
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
OAKBROOK INVESTMENT BROKERS, INC.
CRD#: 22133 / SEC#: , 8-39564
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEVENS, ROBERT GEORGE | 'CHIEF COMPLIANCE OFFICER',PRESIDENT, DIRECTOR, CROP,SROP,FINOP | 720687 |
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.
