Leonard N. Feroleto
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 Nazareno Feroleto, who also goes by Len Feroleto, Lenny Feroleto, Leo Feroleto, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1993. Leonard had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2014 - October 27, 2014
GLOBAL ARENA CAPITAL CORP
July 5, 2011 - November 29, 2012
WINDSOR STREET CAPITAL, LP
June 2, 2011 - July 15, 2011
HALCYON CABOT PARTNERS, LTD.
July 12, 2007 - June 12, 2009
NATIONAL SECURITIES CORPORATION
October 25, 2005 - July 12, 2007
BROOKSTREET SECURITIES CORPORATION
September 20, 2002 - October 20, 2005
FIRST MONTAUK SECURITIES CORP.
February 14, 2002 - September 10, 2002
DONALD & CO. SECURITIES INC.
December 5, 2000 - January 29, 2002
H.C.WAINWRIGHT & CO., LLC
April 3, 2000 - January 1, 2001
SPENCER CLARKE LLC
March 15, 1998 - July 14, 1998
JOSEPHTHAL & CO., INC.
June 20, 1996 - February 23, 1998
DONALD & CO. SECURITIES INC.
May 17, 1993 - June 19, 1996
PRIME CHARTER LTD.
January 18, 1993 - April 27, 1993
PRUDENTIAL EQUITY GROUP, LLC
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
GLOBAL ARENA CAPITAL CORP
CRD#: 16871 / SEC#: , 8-34661
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Financial | 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.
