Reynaldo Leon
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.
Reynaldo Leon was a registered financial professional .
Reynaldo is a previously registered financial professional and started their career in finance in 1996. Reynaldo had worked at 14 firms and has passed the Series 63, SIE and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 6, 2012 - November 28, 2014
K.C. WARD FINANCIAL
February 14, 2012 - June 18, 2012
OBSIDIAN FINANCIAL GROUP, LLC
July 19, 2011 - February 14, 2012
NATIONAL SECURITIES CORPORATION
October 8, 2009 - March 31, 2011
GLOBAL ARENA CAPITAL CORP
July 16, 2009 - November 2, 2009
REID & RUDIGER LLC
February 28, 2008 - July 24, 2009
K.C. WARD FINANCIAL
January 3, 2005 - April 28, 2008
J.P. TURNER & COMPANY, L.L.C.
April 9, 2003 - December 31, 2004
AMERICAN CAPITAL PARTNERS, LLC
September 26, 2001 - May 1, 2002
CAPITAL GROWTH FINANCIAL, LLC
April 28, 2000 - September 21, 2001
JOSEPH GUNNAR & CO. LLC
August 10, 1998 - May 10, 2000
TRADE.COM ONLINE SECURITIES, INC.
July 22, 1998 - August 5, 1998
TRADE.COM ONLINE SECURITIES, INC.
July 7, 1998 - July 21, 1998
J.P. TURNER & COMPANY, L.L.C.
March 12, 1998 - July 24, 1998
DIRKS & COMPANY, INC.
April 28, 1997 - March 15, 1998
LCP CAPITAL CORP.
April 19, 1996 - May 2, 1997
NORTHEAST SECURITIES, LLC
February 2, 1996 - March 12, 1996
INVESTORS ASSOCIATES, INC.
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 62
Date: 1/31/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
K.C. WARD FINANCIAL
CRD#: 145135 / SEC#: , 8-67706
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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