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EL

Eduardo Leon

GLOBAL FINANCIAL SERVICES, L.L.C.
Houston, TX 77056-3019
Some features on this profile are disabled
CRD#: 2232647
EL

Professional summary

Eduardo Leon JR was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Eduardo Leon JR is a registered financial professional currently at GLOBAL FINANCIAL SERVICES, L.L.C. located in Houston, Texas.

Eduardo is registered as a RR (Registered Representative) and started their career in finance in 1992. Eduardo has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Eduardo Leon JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 12, 1994 - Present

GLOBAL FINANCIAL SERVICES, L.L.C.

Office #1: 1330 Post Oak Blvd. Ste 2100, Houston, TX 77056-3019Office #2: 1330 Post Oak Blvd. Ste 2100, Houston, TX 77056
BD
CRD#: 35699
Houston, TX
Past

February 7, 1994 - July 14, 1994

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

June 15, 1992 - March 4, 1994

GBM INTERNATIONAL, INC.

BD
CRD#: 28684
HOUSTON, TX

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(8/26/2016)
RR
New York
(12/20/2019)
RR
Texas
(7/12/1994)

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/7/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 6/12/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/12/1992
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

GF
GLOBAL FINANCIAL SERVICES, L.L.C.
GLOBAL FINANCIAL SERVICES, INC. | GLOBAL FINANCIAL SERVICES, LLC | GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699 / SEC#: , 8-46866

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1330 Post Oak Blvd. Ste 2100, Houston, TX 77056-3019
Mailing Address
1330 Post Oak Blvd Ste 2100, Houston, TX 77056-3019
Phone number
(713) 968-0400
Established
Texas since 12/20/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GFS HOLDINGS, LLCMEMBER
CATHRINER, WILLIAM WALTER IICHIEF COMPLIANCE OFFICER1686950
CHAPA, GERARDO ARTUROMANAGING DIRECTOR1451790
DREPAUL, ROSHNIFINANCIAL OPERATIONS PRINCIPAL6487453
IBARRA, JORGE EDUARDOCHIEF OPERATING OFFICER3079569
MEDRANO, DILIA ELIZABETHCOMPLIANCE REGISTERED OPTIONS PRINCIPAL4626600
TELLEZ, ALFREDOSENIOR VICE PRESIDENT & DIRECTOR2616322
VILLARREAL GUERRA, VICTOR MANUELDIRECTOR5310319

Disclosures

Regulatory Event6
Arbitration1

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

GLOBAL FINANCIAL SERVICES, L.L.C.

CRD#: 35699Houston, TX 77056-3019

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