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LF

Leon M. Fern

EAGLE POINT SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2149791
LF

Professional summary

Leon Michael Fern is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

Leon is registered as a RR (Registered Representative) and started their career in finance in 1991. Leon has worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leon Michael Fern's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 1, 2024 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 324528
Greenwich, CT
Past

May 18, 2023 - March 1, 2024

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
Greenwich, CT
Past

August 3, 2015 - May 11, 2023

PREFERRED CAPITAL SECURITIES, LLC

BD
CRD#: 169719
ATLANTA, GA
Past

October 9, 2012 - August 3, 2015

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

May 3, 2010 - August 3, 2012

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

August 28, 2007 - September 28, 2009

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

August 30, 2006 - August 27, 2007

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
PHOENIXVILLE, PA
Past

May 5, 1999 - July 12, 2006

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

January 23, 1998 - April 20, 1999

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 1, 1992 - August 1, 1997

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

August 21, 1991 - December 5, 1991

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

August 21, 1991 - December 5, 1991

HOME LIFE INSURANCE COMPANY

BD
CRD#: 4184

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/1/2024)
RR
Delaware
(3/1/2024)
RR
Maine
(3/4/2024)
RR
New Hampshire
(3/4/2024)
RR
New Jersey
(3/1/2024)
RR
New York
(3/1/2024)
RR
Pennsylvania
(3/1/2024)
RR
Rhode Island
(3/1/2024)
RR
Vermont
(3/1/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 4/6/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/19/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EAGLE POINT SECURITIES LLC
EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Phone number
(203) 340-8565
Established
Delaware since 11/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EAGLE POINT HOLDINGS LPSOLE MEMBER
CHUNG, MICHAEL NMNFINOP/PFO5739877
DAIGLE, JENNIFFER ALYCEVICE PRESIDENT2620553
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER (POO)4197747
FOX, GERHARD ROBERTCHIEF COMPLIANCE OFFICER2796860
ROTH, JOSEPH HARRISPRESIDENT7673254

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.

Company Information

EAGLE POINT SECURITIES LLC

CRD#: 324528Greenwich, CT 06830

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