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Leonard Cleophas Demers

CRD# 2746984·Registered 1996 - 2009
Previously Registered: Being a previously registered professional could mean that Leonard 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.

Professional Summary

Leonard Cleophas Demers was a registered financial advisor. Leonard was a previously registered financial advisor and started their career in finance 1996 - 2009. Leonard had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

MGA GLOBAL ADVISORS, INC.·CRD# 143115
RIA
Woodbury, MN
October 24, 2007 - July 14, 2009
MERCER CAPITAL LTD.·CRD# 104012
BD
New York, NY
December 2, 2004 - December 31, 2008
MERCER ASSET MANAGEMENT, INC.·CRD# 124745
RIA
New York, NY
June 24, 2004 - December 23, 2009
NATIONS FINANCIAL GROUP, INC.·CRD# 44181
BD
Cedar Rapids, IA
August 28, 2002 - December 31, 2004
WINDSOR STREET CAPITAL, LP·CRD# 34171
BD
New York, NY
July 24, 2001 - September 23, 2002
SOMERSET FINANCIAL GROUP, INC.·CRD# 46507
BD
Princeton, NJ
November 7, 2000 - July 3, 2001
FIRST AMERICAN SECURITIES, INC.·CRD# 35841
BD
Orrville, OH
January 12, 2000 - November 6, 2000
SII INVESTMENTS, INC.·CRD# 2225
BD
Appleton, WI
August 19, 1998 - January 19, 2000
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.·CRD# 13609
BD
Cedar Rapids, IA
September 3, 1996 - August 13, 1998
PRUCO SECURITIES, LLC.·CRD# 5685
BD
Newark, NJ
May 31, 1996 - August 14, 1996

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jan 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Aug 1998About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1996About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Mar 2000About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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