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LD

Leland A. Dykes

Some features on this profile are disabled
CRD#: 2230072
LD

Professional summary

Leland Alan Dykes was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leland is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Leland had worked at 6 firms, which includes ONE FINANCIAL SECURITIES LTD., IMS SECURITIES INC., WESTAMERICA INVESTMENT GROUP, PROSPERA FINANCIAL SERVICES INC., D.E. FREY & COMPANY INC., UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leland A Dykes

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 3, 2001 - June 3, 2008

ONE FINANCIAL SECURITIES, LTD.

BD
CRD#: 104282
NEW ORLEANS, LA
Past

April 21, 1999 - October 19, 2001

IMS SECURITIES, INC.

BD
CRD#: 35567
HOUSTON, TX
Past

November 21, 1997 - December 4, 2001

WESTAMERICA INVESTMENT GROUP

BD
CRD#: 6626
SCOTTSDALE, AZ
Past

February 5, 1997 - November 14, 1997

PROSPERA FINANCIAL SERVICES, INC.

BD
CRD#: 10740
DALLAS, TX
Past

October 16, 1995 - January 9, 1997

D.E. FREY & COMPANY, INC.

BD
CRD#: 23595
DENVER, CO
Past

May 19, 1992 - July 21, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/15/2000
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/24/1999
General Securities Principal Examination

Current Firm

OF
ONE FINANCIAL SECURITIES, LTD.
NOBIS, LTD | ONE FINANCIAL SECURITIES, LTD.

CRD#: 104282 / SEC#: , 8-52744

BD
Cancelled by SEC on 05/27/2009
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 04/19/2000
Firm type
Partnership
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DYKES, LELAND ALANPRESIDENT/DESIGNATED PRINCIPAL/LIMITED PARTNER2230072
MANNING, DAVID EUGENEFINOP1630895
NOBIS MANAGEMENT, LLCGENERAL PARTNER
WU, TSANHWAFINOP1541471

Disclosures

Regulatory Event4

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.

Company Information

ONE FINANCIAL SECURITIES, LTD.

CRD#: 104282

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