Douglas A. Leone
Professional summary
Douglas Anthony Leone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Douglas is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Douglas had worked at 12 firms, which includes SW FINANCIAL, NEWPORT COAST SECURITIES INC., BASIC INVESTORS INC., JOSEPH STEVENS & CO. INC., ADVANCED PLANNING SECURITIES INC., WHITEHALL WELLINGTON INVESTMENTS INC., CAMBRIDGE CAPITAL LLC, FOSTER JEFFRIES SECURITIES LLC, PACIFIC CORTEZ SECURITIES INCORPORATED, RENAISSANCE FINANCIAL SECURITIES CORP., LADENBURG CAPITAL MANAGEMENT INC., GRUNTAL & CO. L.L.C..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2013 - March 22, 2017
SW FINANCIAL
October 28, 2008 - March 20, 2013
NEWPORT COAST SECURITIES, INC.
August 17, 2005 - October 24, 2008
BASIC INVESTORS INC.
March 13, 2002 - September 2, 2005
JOSEPH STEVENS & CO., INC.
October 24, 2000 - March 14, 2002
ADVANCED PLANNING SECURITIES, INC.
May 16, 2000 - November 3, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
May 26, 1998 - May 15, 2000
CAMBRIDGE CAPITAL, LLC
October 1, 1997 - April 24, 1998
FOSTER JEFFRIES SECURITIES, LLC
June 10, 1997 - September 26, 1997
PACIFIC CORTEZ SECURITIES INCORPORATED
February 6, 1996 - May 12, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
June 29, 1994 - February 29, 1996
LADENBURG CAPITAL MANAGEMENT INC.
April 25, 1994 - June 28, 1994
GRUNTAL & CO., L.L.C.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
Red Flags
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