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RL

Raymond L. Leonard

Some features on this profile are disabled
CRD#: 2579082
RL

Professional summary

Raymond Lee Leonard JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Raymond is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Raymond had worked at 1 firm, which includes IRVINE SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raymond Lee Leonard

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

January 23, 1995 - June 30, 1995

IRVINE SECURITIES, INC.

BD
CRD#: 34796
IRVINE, CA

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: 2/10/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 1/20/1995
Direct Participation Programs Representative Examination

Current Firm

IS
IRVINE SECURITIES, INC.
IRVINE SECURITIES, INC.

CRD#: 34796 / SEC#: , 8-46425

BD
Terminated by SEC on 05/24/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/03/1993
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ENVIRONMENTAL ENERGY, INC.SHAREHOLDER
POWELL, JOHN ROBERTPRESIDENT1537132
DIMEGLIO, JOHN JOSEPHFINANCIAL & OPERATIONS PRINCIPAL2908029

Disclosures

Regulatory Event3
Civil 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

IRVINE SECURITIES, INC.

CRD#: 34796

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