Keevin H. Leonard
Professional summary
Keevin Hugh Leonard was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Keevin is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Keevin had worked at 5 firms, which includes A.B. WATLEY INC., A.B. WATLEY DIRECT INC., RUMSON CAPITAL LLC, NATIONAL CLEARING CORP., TUSCANY EQUITY MANAGEMENT CORPORATI0N.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2003 - September 10, 2003
A.B. WATLEY, INC.
July 18, 2002 - March 27, 2003
A.B. WATLEY DIRECT, INC.
March 21, 2002 - March 31, 2003
A.B. WATLEY, INC.
November 4, 1998 - September 10, 2001
RUMSON CAPITAL, LLC
July 24, 1997 - October 9, 1998
NATIONAL CLEARING CORP.
June 12, 1996 - June 28, 1996
TUSCANY EQUITY MANAGEMENT CORPORATI0N
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 55
Date: 1/5/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 6/11/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
A.B. WATLEY, INC.
CRD#: 797 / SEC#: , 8-7080
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| 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.
