John M. Leonard
Professional summary
John Michael Leonard was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
John is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, John had worked at 8 firms, which includes WORKMAN SECURITIES CORPORATION, ADVANCED EQUITIES INC., VOYA FINANCIAL ADVISORS INC., LEHMAN BROTHERS INC., COWEN AND COMPANY, FINANCIAL SQUARE PARTNERS, WILLIAM BLAIR, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2006 - October 21, 2009
WORKMAN SECURITIES CORPORATION
August 2, 2006 - September 21, 2006
ADVANCED EQUITIES, INC.
January 9, 2004 - September 9, 2005
WORKMAN SECURITIES CORPORATION
March 27, 2002 - October 2, 2003
VOYA FINANCIAL ADVISORS, INC.
February 11, 2002 - October 2, 2003
VOYA FINANCIAL ADVISORS, INC.
October 12, 2000 - February 12, 2002
LEHMAN BROTHERS INC.
July 1, 1998 - October 17, 2000
COWEN AND COMPANY
July 17, 1995 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 9, 1995 - July 5, 1995
WILLIAM BLAIR
August 28, 1992 - January 6, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
WORKMAN SECURITIES CORPORATION
CRD#: 31898 / SEC#: 801-65758, 8-45573
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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