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Christopher A. Leppla

Some features on this profile are disabled
CRD#: 2518286
CL

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.

Christopher Alan Leppla was a registered financial professional .

Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 20, 2014 - June 3, 2016

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

August 9, 2012 - March 14, 2014

IRC SECURITIES LLC

BD
CRD#: 150022
NEW YORK, NY
Past

December 7, 2011 - July 3, 2012

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
NEW YORK, NY
Past

November 1, 2010 - November 2, 2010

COWEN PRIME SERVICES LLC

BD
CRD#: 153397
GREENWICH, CT
Past

November 1, 2010 - December 5, 2011

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

March 16, 2009 - November 2, 2010

SANDERS MORRIS LLC

BD
CRD#: 20580
GREENWICH, CT
Past

July 9, 2004 - March 16, 2009

STANFORD GROUP COMPANY

BD
CRD#: 39285
NEW YORK, NY
Past

November 6, 2002 - June 4, 2004

BLAYLOCK & COMPANY, INC.

BD
CRD#: 35669
NEW YORK, NY
Past

November 3, 2000 - September 26, 2002

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

July 17, 1998 - September 29, 2000

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

September 1, 1994 - March 6, 1998

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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: 9/16/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/3/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/31/1994
General Securities Representative Examination

Current Firm

IS
IRC SECURITIES LLC
INVESTMENT RESEARCH CONSORTIUM SECURITIES LLC | IRC SECURITIES LLC

CRD#: 150022 / SEC#: , 8-68208

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

Main Address
420 Lexington Avenue Suite 300, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 300, New York, NY 10170
Phone number
(646) 355-0940
Established
Delaware since 06/30/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (16 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVESTMENT RESEARCH CONSORTIUM100% OWNER
COOPER, NANCY JOANFINANCIAL OPERATIONS PRINCIPAL4029120
O'DAY, BRIAN THOMASCEO/PRESIDENT/CCO1331173

Disclosures

Regulatory Event1

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

IRC SECURITIES LLC

CRD#: 150022

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