Jack A. Leventhal

DORSET PEAK SECURITIES LLC

New York, NY 10014

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CRD#: 2170953

Professional summary

Jack Andrew Leventhal, who also goes by Jack A Leventhal, is a registered financial professional currently at DORSET PEAK SECURITIES LLC located in New York, New York.

Jack is registered as a RR (Registered Representative) and started their career in finance in 1991. Jack has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jack A Leventhal

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 Jack Andrew Leventhal'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

September 15, 2021 - Present

DORSET PEAK SECURITIES LLC

Office #1: 416 West 13th Street, New York, NY 10014Office #2: 416 West 13th Street, New York, NY 10014

CRD#: 312209

New York, NY

Past

June 9, 2016 - October 27, 2021

TENEO SECURITIES LLC

CRD#: 151256

NEW YORK, NY

Past

March 23, 2010 - August 9, 2011

NOMURA SECURITIES NORTH AMERICA, LLC

CRD#: 42885

NEW YORK, NY

Past

June 6, 2005 - June 15, 2016

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

September 1, 2004 - June 1, 2005

DELOITTE CORPORATE FINANCE LLC

CRD#: 111747

CHICAGO, IL

Past

May 24, 1995 - July 8, 2004

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 11, 1992 - June 14, 1995

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 25, 1991 - January 28, 1992

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(1/25/2023)

Connecticut
(3/1/2023)

Illinois
(3/1/2023)

Indiana
(2/16/2022)

Maryland
(3/1/2023)

Massachusetts
(2/17/2023)

New Jersey
(10/7/2021)

New York
(9/16/2021)

Ohio
(1/26/2023)

Pennsylvania
(3/1/2023)

Puerto Rico
(10/24/2023)

Texas
(9/29/2021)

Exams

State Security Law Exam

Series 63

Date: 11/5/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DORSET PEAK SECURITIES LLC

CRD#: 312209 / SEC#: , 8-70684

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

416 West 13th Street, New York, NY 10014

Mailing Address

416 West 13th Street, New York, NY 10014

Phone number

(646) 661-3588

Established

Delaware since 12/08/2020

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DORSET PEAK SOLUTIONS LLC	SOLE MEMBER
LEVENTHAL, JACK ANDREW	CEO/GSP	2170953
ROTHENBERG, SHARI P	FINOP	6590875
VERDONE, JAMES JOSEPH	CCO	2581251

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Jack A. Leventhal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jack Andrew Leventhal's CRS (Customer Relationship Summary).

Certified licenses

Experience

TENEO SECURITIES LLC

NOMURA SECURITIES NORTH AMERICA, LLC

NOMURA SECURITIES INTERNATIONAL, INC.

DELOITTE CORPORATE FINANCE LLC

UBS SECURITIES LLC

LEHMAN BROTHERS INC.

SALOMON BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/5/2004

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1991

Series 24

Date: 12/28/2004

FINRA

Current Firm

DORSET PEAK SECURITIES LLC

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DORSET PEAK SECURITIES LLC

TRUST BUT VERIFY

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