Leonard Giarraputo
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.
Leonard Giarraputo, who also goes by Leonard Giarraputo Jr, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1970. Leonard had worked at 10 firms and has passed the Series 63, SIE, Series 55, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2015 - March 15, 2019
NATIONAL SECURITIES CORPORATION
March 26, 2010 - June 30, 2015
JHS CAPITAL ADVISORS, LLC
November 1, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
October 30, 2003 - November 9, 2005
KIRLIN SECURITIES INC.
May 17, 1996 - October 21, 2003
WORLDCO, L.L.C.
June 1, 1984 - June 5, 1996
UBS FINANCIAL SERVICES INC.
April 12, 1972 - June 4, 1984
UBS ASSET MANAGEMENT (US) INC.
March 1, 1972 - June 24, 1974
CONNECTICUT FIRST SECURITIES CORP
June 3, 1971 - January 10, 1972
DOMIK CORP.
November 25, 1970 - June 17, 1971
MESIROW FINANCIAL, 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
Series 55
Date: 12/7/1999
Limited Representative-Equity Trader ExamPC
Date: 11/4/1994
AMEX Put and Call ExamSeries 1
Date: 7/1/1969
Registered Representative ExaminationSeries 40
Date: 7/28/1975
Registered Principal ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
