Leonard C. Demers
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.
Leonard Cleophas Demers was a registered financial advisor .
Leonard is a previously registered financial advisor and started their career in finance in 1996. Leonard had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2007 - July 14, 2009
MGA GLOBAL ADVISORS, INC.
December 2, 2004 - December 31, 2008
MERCER CAPITAL LTD.
June 24, 2004 - December 23, 2009
MERCER ASSET MANAGEMENT, INC.
August 28, 2002 - December 31, 2004
NATIONS FINANCIAL GROUP, INC.
July 24, 2001 - September 23, 2002
WINDSOR STREET CAPITAL, LP
November 7, 2000 - July 3, 2001
SOMERSET FINANCIAL GROUP, INC.
January 12, 2000 - November 6, 2000
FIRST AMERICAN SECURITIES, INC.
August 19, 1998 - January 19, 2000
SII INVESTMENTS, INC.
September 3, 1996 - August 13, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
May 31, 1996 - August 14, 1996
PRUCO SECURITIES, LLC.
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
No current employment
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.
