Leon R. Mabrey
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.
Leon Roy Mabrey, who also goes by Leon Roy Mabrey Jr, Leon Roy Mabrey Jr., Roy Leon Mabrey Jr, Roy Mabrey, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1996. Leon had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 25, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - April 20, 2015
KESTRA INVESTMENT SERVICES, LLC
May 5, 2014 - April 20, 2015
KESTRA INVESTMENT SERVICES, LLC
December 9, 2010 - May 9, 2012
PARK AVENUE SECURITIES LLC
December 8, 2010 - May 9, 2012
PARK AVENUE SECURITIES LLC
November 13, 2009 - November 17, 2010
BUCKMAN ADVISORY GROUP LLC
November 13, 2009 - September 9, 2010
BUCKMAN, BUCKMAN & REID, INC.
June 29, 2009 - October 12, 2009
BCG SECURITIES, INC.
June 29, 2009 - October 12, 2009
BCG SECURITIES, INC.
June 18, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
April 7, 2008 - May 13, 2009
UBS FINANCIAL SERVICES INC.
March 5, 2007 - June 1, 2007
Z&Z SECURITIES INC.
March 8, 2001 - October 22, 2001
BMO CAPITAL MARKETS CORP.
October 1, 2000 - March 2, 2001
THE GRISWOLD COMPANY, INCORPORATED
January 14, 2000 - October 9, 2007
ROBERT G. PEARS & CO., INC.
September 5, 1996 - July 6, 1998
TIJA MANAGEMENT, INC.
July 9, 1996 - July 30, 1996
APEX CLEARING CORPORATION
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 25
Date: 1/11/2000
NYSE Trading Assistant ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
