Leonard J. Gibel
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 James Gibel was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1963. Leonard had worked at 3 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 27, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2012 - June 2, 2021
ETC BROKERAGE SERVICES, LLC
February 1, 1974 - July 17, 2013
MID-OHIO SECURITIES CORP
April 19, 1963 - February 18, 1974
HARTZMARK & CO., 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 4/19/1963
Registered Representative ExaminationF04
Date: 1/28/1974
Financial Principal ExaminationSeries 00
Date: 11/17/1973
General Securities Principal ExaminationCurrent Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
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.
