Leonard E. Graham
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 Everett Graham JR, who also goes by Bo Graham Jr, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1968. Leonard had worked at 6 firms and has passed the Series 63, SIE 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
April 13, 2004 - December 31, 2014
THE LEADERS GROUP, INC.
January 4, 2000 - January 12, 2006
HORNOR, TOWNSEND & KENT, LLC
August 29, 1997 - January 7, 2000
THE ADVISORS GROUP, INC.
June 9, 1988 - August 29, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 7, 1972 - May 16, 1988
MONY SECURITIES CORPORATION
November 14, 1968 - May 17, 1988
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 9/26/1968
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
