Paul M. Leddy
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.
Paul Matthew Leddy, who also goes by Paul M Leddy, Paul Matthew Leddy, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2021 - February 6, 2023
MIRABERG WEALTH LLC
February 14, 2019 - November 11, 2021
PRUCO SECURITIES, LLC.
January 17, 2019 - November 11, 2021
PRUCO SECURITIES, LLC.
February 29, 2016 - January 9, 2019
REGAL ADVISORY SERVICES, INC.
February 26, 2016 - January 9, 2019
REGAL SECURITIES, INC.
January 10, 2013 - March 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
January 10, 2013 - March 1, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 2, 2012 - October 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 2003 - April 5, 2012
CANTOR FITZGERALD & CO.
April 15, 1997 - January 28, 2003
MORGAN STANLEY & CO. LLC
August 23, 1993 - July 2, 1997
MORGAN STANLEY DW 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
Current Firm
MIRABERG WEALTH LLC
CRD#: 313040 / SEC#:
Contact information
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.
