Leonard Graber
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.
Leonard Graber was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1970. Leonard had worked at 14 firms and has passed the PC, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2002 - May 9, 2014
VANDERBILT SECURITIES, LLC
January 31, 1992 - December 31, 2001
OPPENHEIMER & CO. INC.
September 21, 1991 - February 5, 1992
JOSEPHTHAL & CO., INC.
January 17, 1990 - October 18, 1991
JJC SECURITIES CO., INC.
January 2, 1990 - January 27, 1990
HANIFEN, IMHOFF SECURITIES CORP.
May 31, 1983 - January 2, 1990
MOORE & SCHLEY, CAMERON & CO.
February 24, 1981 - June 6, 1983
ADVEST, INC.
September 17, 1979 - March 5, 1981
LEHMAN BROTHERS INC.
February 26, 1979 - September 17, 1979
LOEB PARTNERS
February 6, 1975 - November 3, 1975
E. L. AARON & CO., INC.
January 24, 1973 - March 28, 1974
ALPHA CAPITAL VENTURES CORP.
April 3, 1972 - January 5, 1973
I J FISCHER & CO INC
August 2, 1971 - May 12, 1972
PHILIPS, APPEL & WALDEN, INC.
September 8, 1970 - July 28, 1971
FERKAUF ROGGEN BRESSMAN CLASEN
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
PC
Date: 2/17/1979
AMEX Put and Call ExamSeries 1
Date: 12/27/1956
Registered Representative ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| 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.
