Steven B. Leggett
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.
Steven Blaine Leggett was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 3 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 10, Series 9, Series 4 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
March 31, 1999 - December 31, 1999
MYDISCOUNTBROKER.COM
January 2, 1996 - February 16, 2016
HILLTOP SECURITIES INC.
May 23, 1994 - December 31, 1995
MOMENTUM INDEPENDENT NETWORK 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: 4/17/2000
Limited Representative-Equity Trader ExamCurrent Firm
MYDISCOUNTBROKER.COM
CRD#: 42565 / SEC#: , 8-49882
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SWS SECURITIES GROUP, INC. | PUBLICALLY OWNED ENTITY (NYSE-SWS) | |
| GRISSER, HARRY | CROP/SROP/MUNICIPAL PRINCIPAL | 2285929 |
| HANKS, KENNETH RAY | DIRECTOR | 1812450 |
| HODGES, STACY MALINDA | VICE PRESIDENT/CFO/TREASURER | 2544755 |
| KNOWLES, PHYLLIS JEAN | CCO | 1275616 |
| LELAND, DANIEL ROGER | CEO/CHAIRMAN OF THE BOARD/DIRECTOR | 1157737 |
| THOMAS, STANLEY MATTHEW | PRESIDENT | 2477694 |
| TUBB, ALLEN R | SECRETARY | |
| WADE, JEROME STEPHEN | VP/GENERAL COUNSEL | 809998 |
Disclosures
| Arbitration | 1 |
Red Flags
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