William L. 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.
William Lees Leddy, who also goes by Willaim Lees Leddy, Leddy Lees William Lees, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 10 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
March 30, 2011 - August 23, 2019
JEFFERIES LLC
March 12, 2009 - January 20, 2011
HUDSON SECURITIES,INC.
June 17, 2004 - March 10, 2009
SCHONFELD SECURITIES, LLC
June 4, 2004 - October 21, 2004
TRINIX SECURITIES LLC
January 17, 2003 - June 7, 2004
BANC OF AMERICA SECURITIES LLC
September 28, 1998 - January 27, 2003
VECTOR PARTNERS L.P.
February 20, 1996 - August 17, 1998
AXIOM CAPITAL MANAGEMENT, INC.
December 10, 1994 - February 26, 1996
CIBC WORLD MARKETS CORP.
February 15, 1994 - November 18, 1994
KIDDER, PEABODY & CO. INCORPORATED
October 19, 1993 - January 1, 1994
CHATFIELD DEAN & 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: 1/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
JEFFERIES LLC
CRD#: 2347 / SEC#: , 8-15074
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JEFFERIES FINANCIAL GROUP INC | DIRECT OWNER | |
| CAGNO, MARK LAWRENCE | GLOBAL CONTROLLER, MANAGING DIRECTOR | 2510148 |
| FISCELLA, MICHAEL EUGENE | GLOBAL HEAD OF OPERATIONS, MANAGING DIRECTOR | 2490187 |
| FORLENZA, PETER CHARLES | GLOBAL HEAD OF EQUITIES, MANAGING DIRECTOR | 2366985 |
| FRIEDMAN, BRIAN PAUL | DIRECTOR AND CHAIRMAN, EXECUTIVE COMMITTEE | 1298550 |
| HANDLER, RICHARD BRIAN | CHAIRMAN, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1563245 |
| LARSON, MATTHEW SCOTT | EXECUTIVE VICE PRESIDENT AND CFO/ PRINCIPAL FINANCIAL OFFICER | 2605152 |
| SCORAN, LAURI A | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | 2060170 |
| SHARP, MICHAEL JAMES | GENERAL COUNSEL, SECRETARY, EXECUTIVE VICE PRESIDENT | 1013864 |
| STACCONI, JOHN FRANCO | TREASURER | 1814227 |
Disclosures
| Regulatory Event | 133 |
| Arbitration | 4 |
Red Flags
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