JL
James K. Leder
NUVEEN SECURITIES
New York, NY 10152
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CRD#: 2559025
JL
Professional summary
James Kenneth Leder is a registered financial professional currently at NUVEEN SECURITIES, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1994. James has worked at 7 firms and has passed the Series 63, Series 82TO, Series 7TO, SIE, Series 55 and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view James Kenneth Leder's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 2, 2024 - Present
NUVEEN SECURITIES, LLC
Office #1: 375 Park Avenue, New York, NY 10152BD
CRD#: 469
New York, NY
Past
March 21, 2019 - October 14, 2020
CVC FUNDING, LLC
BD
CRD#: 277056
NEW YORK, NY
Past
July 14, 2009 - May 21, 2015
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
July 14, 2009 - May 21, 2015
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
January 26, 2009 - July 13, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
October 27, 2004 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
June 5, 2001 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 9, 1995 - June 30, 1999
MINT BROKERS
BD
CRD#: 13681
NEW YORK, NY
Past
November 7, 1994 - June 30, 1999
CANTOR FITZGERALD SECURITIES
BD
CRD#: 19660
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/17/2024)
RR
Alaska(9/17/2024)
RR
Arizona(9/17/2024)
RR
Arkansas(9/17/2024)
RR
California(9/17/2024)
RR
Colorado(9/17/2024)
RR
Connecticut(9/17/2024)
RR
Delaware(9/17/2024)
RR
District of Columbia(9/17/2024)
RR
Florida(9/17/2024)
RR
Georgia(9/17/2024)
RR
Hawaii(9/17/2024)
RR
Idaho(9/17/2024)
RR
Illinois(9/17/2024)
RR
Indiana(9/17/2024)
RR
Iowa(9/17/2024)
RR
Kansas(9/17/2024)
RR
Kentucky(9/17/2024)
RR
Louisiana(9/17/2024)
RR
Maine(9/17/2024)
RR
Maryland(9/17/2024)
RR
Massachusetts(9/17/2024)
RR
Michigan(9/17/2024)
RR
Minnesota(9/17/2024)
RR
Mississippi(9/17/2024)
RR
Missouri(9/17/2024)
RR
Montana(9/17/2024)
RR
Nebraska(9/17/2024)
RR
Nevada(9/17/2024)
RR
New Hampshire(9/17/2024)
RR
New Jersey(9/17/2024)
RR
New Mexico(9/17/2024)
RR
New York(9/16/2024)
RR
North Carolina(9/17/2024)
RR
North Dakota(9/17/2024)
RR
Ohio(9/18/2024)
RR
Oklahoma(9/17/2024)
RR
Oregon(9/17/2024)
RR
Pennsylvania(9/17/2024)
RR
Puerto Rico(9/17/2024)
RR
Rhode Island(9/17/2024)
RR
South Carolina(9/17/2024)
RR
South Dakota(9/17/2024)
RR
Tennessee(9/17/2024)
RR
Texas(9/17/2024)
RR
Utah(9/17/2024)
RR
Vermont(9/17/2024)
RR
Virgin Islands(9/17/2024)
RR
Virginia(9/17/2024)
RR
Washington(9/17/2024)
RR
West Virginia(9/17/2024)
RR
Wisconsin(9/17/2024)
RR
Wyoming(9/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2024
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
RR
Series 7TO
Date: 1/2/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/29/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NUVEEN SECURITIES, LLC
JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS
CRD#: 469 / SEC#: , 8-13464
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
333 West Wacker Drive, Chicago, IL 60606-1286
Mailing Address
333 West Wacker Drive, Chicago, IL 60606-1286
Phone number
(312) 917-7700
Established
Delaware since 09/07/1967
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Civil Event | 2 |
| Arbitration | 1 |
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.
