Michael J. Leeming
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.
Michael John Leeming, who also goes by Michael J Leeming, Michael J. Leeming, Mike Leeming, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1994. Michael had worked at 22 firms and has passed the Series 65, Series 63, Series 3, Series 6TO, Series 57TO, SIE, Series 55, Series 25, Series 7, Series 4 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
July 4, 2025 - January 27, 2026
TRADESTATION SECURITIES, INC.
April 15, 2024 - November 14, 2024
SOUND INCOME STRATEGIES, LLC
August 14, 2023 - October 10, 2023
CETERA INVESTMENT SERVICES LLC
August 14, 2023 - October 10, 2023
CETERA FINANCIAL SPECIALISTS LLC
August 14, 2023 - October 10, 2023
CETERA ADVISORS LLC
June 29, 2023 - November 14, 2023
CETERA INVESTMENT ADVISERS LLC
June 16, 2023 - October 10, 2023
CETERA WEALTH SERVICES, LLC
February 20, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
February 20, 2023 - August 10, 2023
SECURIAN FINANCIAL SERVICES, INC.
June 13, 2022 - June 22, 2022
IFP SECURITIES, LLC
December 15, 2021 - February 18, 2022
RAYMOND JAMES & ASSOCIATES, INC.
December 15, 2021 - February 18, 2022
RAYMOND JAMES & ASSOCIATES, INC.
April 3, 2020 - April 30, 2020
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 24, 2019 - August 19, 2019
RAYMOND JAMES & ASSOCIATES, INC.
January 2, 2014 - August 7, 2017
BNY MELLON CAPITAL MARKETS, LLC
April 1, 2010 - May 17, 2019
PERSHING LLC
May 21, 2009 - July 21, 2009
BROAD STREET SECURITIES, INC.
July 24, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 1, 2008 - February 12, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 5, 2007 - March 31, 2008
1ST DISCOUNT BROKERAGE, INC.
May 19, 2005 - May 29, 2007
ROBERT G. PEARS & CO., INC.
April 29, 2002 - May 3, 2005
DAG SECURITIES INC.
February 20, 2002 - April 30, 2002
STUART FRANKEL & CO., INCORPORATED
October 1, 2000 - February 22, 2002
ROBERT G. PEARS & CO., INC.
April 26, 1995 - February 3, 1998
COWEN SECURITIES LLC
May 24, 1994 - April 17, 1995
FIRST OPTIONS OF CHICAGO, INC.
January 1, 1994 - May 4, 1994
LABRANCHE FINANCIAL SERVICES, LLC
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/11/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 10/4/2002
NYSE Trading Assistant ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
