Andrew Karay
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.
Andrew Karay, who also goes by Andy Karay, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1966. Andrew had worked at 11 firms and has passed the Series 65, Series 63, PC, Series 000, Series 1, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2000 - December 7, 2000
LEONARD & COMPANY
February 11, 1998 - March 13, 2000
FSC SECURITIES CORPORATION
November 1, 1993 - January 8, 1998
NORTH AMERICAN FINANCIAL GROUP, INC.
August 21, 1992 - October 22, 1993
RONEY & CO. L.L.C.
January 27, 1986 - August 20, 1992
MORGAN STANLEY DW INC.
December 21, 1981 - January 21, 1986
E. F. HUTTON & COMPANY INC
September 16, 1977 - January 12, 1982
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 14, 1971 - February 27, 1976
BACHE & CO., INCORPORATED
September 12, 1966 - July 3, 1971
WATLING LERGHEN & COMPANY
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
PC
Date: 6/13/1977
AMEX Put and Call ExamSeries 000
Date: 9/8/1966
General Securities Principal ExaminationSeries 1
Date: 9/8/1966
Registered Representative ExaminationSeries 12
Date: 12/23/1982
NYSE Branch Manager ExaminationCurrent Firm
LEONARD & COMPANY
CRD#: 36527 / SEC#: 801-60035, 8-47298
Contact information
Disclosures
| Regulatory Event | 13 |
| Arbitration | 2 |
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.
