James J. Leos
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.
James Joseph Leos, who also goes by Jim Leos, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 3 firms and has passed the Series 63, SIE, 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
May 14, 1999 - March 30, 2016
LEGEND EQUITIES CORPORATION
November 13, 1998 - May 28, 1999
VALIC FINANCIAL ADVISORS, INC.
July 20, 1992 - May 28, 1999
THE VARIABLE ANNUITY MARKETING COMPANY
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
LEGEND EQUITIES CORPORATION
CRD#: 30999 / SEC#: , 8-45286
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEGEND GROUP HOLDINGS, LLC | DIRECT OWNER | |
| ANTONIADES, ADAM NICHOLAS | DIRECTOR | 2261744 |
| BONNEAU, CATHERINE MCCORMACK | DIRECTOR | 2899706 |
| GINGRICH, MIRALDA | VICE PRESIDENT | 1985431 |
| GRIFFEY, ENA MARIA | FINOP | 4460199 |
| HALEY, BRIAN JOSEPH | CHIEF COMPLIANCE OFFICER | 4361815 |
| MEHROTRA, SHASHI | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 2640875 |
| RUDNICK, REGINA MARY | VICE PRESIDENT | 2373530 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
Disclosures
| Regulatory Event | 6 |
| 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.
