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LS

Leah S. Schraudenbach

Some features on this profile are disabled
CRD#: 2418299
LS

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.

Leah Sonnenschein Schraudenbach, who also goes by Leah Sonnenschein, was a registered financial professional .

Leah is a previously registered financial professional and started their career in finance in 1994. Leah had worked at 4 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leah Sonnenschein

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 2, 2010 - November 13, 2012

SKYWORKS SECURITIES, LLC

BD
CRD#: 128985
GREENWICH, CT
Past

September 4, 1998 - December 31, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

April 1, 1996 - January 1, 1999

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

January 13, 1994 - April 1, 1996

CHASE SECURITIES, INC.

BD
CRD#: 10793
NEW YORK, MD

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/18/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/1994
General Securities Representative Examination

Current Firm

SS
SKYWORKS SECURITIES, LLC
SKYWORKS SECURITIES, LLC

CRD#: 128985 / SEC#: , 8-66190

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
283 Greenwich Avenue 4th Floor, Greenwich, CT 06830
Mailing Address
283 Greenwich Avenue 4th Floor, Greenwich, CT 06830
Phone number
(203) 983-6677
Established
Delaware since 11/06/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SKYWORKS CAPITAL, LLCSOLE MEMBER
CRAINE, JEFFREY STEPHENCEO2742836
FORTINO, ANGELINAFINOP/PFO/POO6869135
GAAL, STEVEN TIBORCCO2599333

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.

Company Information

SKYWORKS SECURITIES, LLC

CRD#: 128985

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