Leo I. Gettlin
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.
Leo Ira Gettlin was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1970. Leo had worked at 12 firms and has passed the Series 63, Series 22, 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
February 5, 1990 - April 20, 1990
ROCKWELL FINANCIAL, INC.
August 14, 1989 - November 27, 1989
CENTRAL SECURITIES, INC.
February 8, 1989 - September 13, 1991
MONMOUTH INVESTMENTS, INC.
November 9, 1988 - January 17, 1989
WESTMONT SECURITIES CORPORATION
August 28, 1987 - November 8, 1988
REMINGTON SECURITIES, INC.
April 27, 1987 - June 15, 1987
BRIGHTON INDUSTRIES, INC.
April 30, 1976 - December 26, 1986
SOUTHMARK FINANCIAL SERVICES, INC.
January 11, 1974 - June 13, 1976
INDUSTRY SAVINGS PLANS, INC.
October 18, 1971 - November 24, 1972
STIEGLITZ GILMAN & CO
July 26, 1971 - January 6, 1972
F. O. BAROFF COMPANY, INC.
July 1, 1970 - November 12, 1971
BUTTONWOOD SECURITIES, INC.
March 2, 1970 - July 30, 1971
FIDLER SECURITIES CORP
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 1
Date: 4/15/1959
Registered Representative ExaminationSeries 40
Date: 7/12/1976
Registered Principal ExaminationCurrent Firm
ROCKWELL FINANCIAL, INC.
CRD#: 16350 / SEC#: , 8-33800
Contact information
Documents
Red Flags
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