Richard S. Leonard
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.
Richard Seery Leonard, who also goes by Rich Leonard, Richard S Leonard, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 6 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2010 - December 31, 2012
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
November 18, 2008 - June 15, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
February 14, 1996 - October 23, 2008
VOYA FINANCIAL PARTNERS, LLC
February 1, 1996 - November 21, 2005
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
July 21, 1993 - January 4, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
May 12, 1992 - October 2, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 12, 1992 - October 2, 1992
SIGNATOR INVESTORS, 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
Current Firm
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
CRD#: 37819 / SEC#: , 8-48097
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TALCOTT HOLDINGS, LP | PARENT OF APPLICANT | |
| CONNER, CHRISTOPHER SCOTT | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 2239639 |
| DAGNAULT, CHRISTOPHER JOHN | CEO, PRESIDENT AND DIRECTOR | 2311161 |
| MATTHEWS, STILA HSUANPING | AML OFFICER AND ASSISTANT SECRETARY | 5745148 |
| ROSA, ANTONIO T JR | FINOP, CFO AND TREASURER | 6963656 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
