Christian E. Leger
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.
Christian Edwin Leger was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 1992. Christian had worked at 8 firms and has passed the Series 63, SIE, Series 55, 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
February 21, 2012 - July 28, 2015
LADENBURG THALMANN & CO. INC.
December 1, 2009 - January 5, 2012
WJB CAPITAL GROUP, INC.
April 21, 2008 - September 23, 2009
NATIXIS SECURITIES AMERICAS LLC
December 20, 2006 - April 14, 2008
STERNE, AGEE & LEACH, INC.
August 7, 1996 - April 10, 2006
CANACCORD GENUITY LLC
March 15, 1995 - July 25, 1996
AMERIPRISE ADVISOR SERVICES, INC.
May 7, 1993 - March 23, 1995
UBS FINANCIAL SERVICES INC.
December 21, 1992 - February 10, 1993
HIBBARD BROWN & CO., INC.
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
Series 55
Date: 1/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
LADENBURG THALMANN & CO. INC.
CRD#: 505 / SEC#: , 8-17230
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC HOLDINGS, INC. | OWNER | |
| BLANCATO, PHILIP SALVATORE | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2122221 |
| GIDEON, MICHAEL R | DIRECTOR, CO-PRESIDENT, AND CO-CHIEF EXECUTIVE OFFICER, PRINCIPAL OPERATIONS OFFICER | 5315304 |
| GIOVANNIELLO, JOSEPH | SVP/GENERAL COUNSEL/ASSISTANT SECRETARY | 3086071 |
| MITCHELL, CHRISTOPHER MILLS | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
| SPATOLA, BRIAN MICHAEL | CHIEF COMPLIANCE OFFICER / MSRB PRINCIPAL | 2773548 |
| STEINER, BARRY EVAN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER AND INVESTMENT BANKING SUPERVISOR | 2775629 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 14 |
Red Flags
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