Len Adler
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.
Len Adler, who also goes by Leyba Adler, was a registered financial professional .
Len is a previously registered financial professional and started their career in finance in 1996. Len had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 1, 1998 - October 7, 1998
AEQUUS EQUITIES, INC.
August 5, 1996 - January 31, 1997
WILLIAM & CO. CAPITAL MARKETS LTD.
May 7, 1996 - February 3, 2003
WOLFF INVESTMENT GROUP INCORPORATED
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
Current Firm
AEQUUS EQUITIES, INC.
CRD#: 20510 / SEC#: , 8-38250
Contact information
Documents
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.
