James K. Leder
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.
James Kenneth Leder was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 7 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - June 15, 2026
NUVEEN SECURITIES, LLC
March 21, 2019 - October 14, 2020
CVC FUNDING, LLC
July 14, 2009 - May 21, 2015
CREDIT SUISSE SECURITIES (USA) LLC
July 14, 2009 - May 21, 2015
CREDIT SUISSE SECURITIES (USA) LLC
January 26, 2009 - July 13, 2009
BANC OF AMERICA SECURITIES LLC
October 27, 2004 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2001 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 1995 - June 30, 1999
MINT BROKERS
November 7, 1994 - June 30, 1999
CANTOR FITZGERALD SECURITIES
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 82TO
Date: 1/2/2024
Limited Representative-Private Securities OfferingsSeries 7TO
Date: 1/2/2024
General Securities Representative ExaminationSeries 55
Date: 11/29/2001
Limited Representative-Equity Trader ExamCurrent Firm
NUVEEN SECURITIES, LLC
CRD#: 469 / SEC#: , 8-13464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
Red Flags
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