Phil Leone
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.
Phil Leone, who also goes by Phil Jr Leone, Phil Leone Jr, was a registered financial professional .
Phil is a previously registered financial professional and started their career in finance in 1998. Phil had worked at 7 firms and has passed the Series 63, Series 7, Series 27 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 31, 2007 - February 6, 2014
SANTANDER INTERNATIONAL SECURITIES, INC.
August 23, 2006 - June 7, 2007
THE CONCORD EQUITY GROUP, LLC
July 1, 2003 - March 9, 2005
WELLS FARGO CLEARING SERVICES, LLC
January 6, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 27, 1998 - December 14, 1998
SHARPE CAPITAL, INC.
June 16, 1998 - October 6, 1998
PRESTON LANGLEY ASSET MANAGEMENT, INC.
March 5, 1998 - May 21, 1998
LADENBURG CAPITAL MANAGEMENT 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
Current Firm
SANTANDER INTERNATIONAL SECURITIES, INC.
CRD#: 131165 / SEC#: , 8-66432
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANCO SANTANDER INTERNATIONAL | OWNER | |
| FERNANDEZ, EDUARDO MIGUEL | PRESIDENT AND BOARD MEMBER | 1424146 |
| LEONE, PHIL | FINOP | 2905537 |
| LOCH, CAROL A. | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4784304 |
| MORALES DE CANO, ALVARO JAVIER | BOARD CHAIRMAN | 6121367 |
| ORDONEZ SANCHEZ, ANGEL TOMAS | CHIEF EXECUTIVE OFFICER (CEO) & BOARD MEMBER | 4986941 |
Disclosures
| Regulatory Event | 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.
