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LB

Leonard E. Burd

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CRD#: 2937326
LB

Professional summary

Leonard Eric Burd was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Leonard is a previously registered financial advisor and started their career in finance in 1997. Prior to being barred, Leonard had worked at 3 firms, which includes SUMMIT BROKERAGE SERVICES INC., LPL FINANCIAL LLC, UBS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leonard E Burd

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 2, 2012 - November 15, 2013

SUMMIT BROKERAGE SERVICES, INC.

BD
CRD#: 34643
DOVER, MA
Past

March 26, 2009 - February 28, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
FRAMINGHAM, MA
Past

February 26, 2009 - February 28, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
FRAMINGHAM, MA
Past

November 12, 1997 - March 6, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WELLESLEY, MA
Past

October 21, 1997 - March 6, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WELLESLEY, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/14/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/20/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/21/2009
General Securities Principal Examination

Current Firm

SB
SUMMIT BROKERAGE SERVICES, INC.
SUMMIT BROKERAGE SERVICES | SUMMIT FINANCIAL GROUP, INC. | SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643 / SEC#: , 8-46310

BD
Terminated by SEC on 12/02/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/03/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUMMIT FINANCIAL SERVICES GROUP, INC.HOLDING COMPANY FOR APPLICANT
BONNEAU, CATHERINE MCCORMACKCHIEF OPERATING OFFICER2899706
FRAM, FREDERICK GORDONCHIEF COMPLIANCE OFFICER AND SECRETARY1701062
HARRISON, BRETT LAMARDIRECTOR4032238
JACOBS, STEVEN CRAIGVICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER1676431
KESTERSON, BARBARA JOPRINCIPAL OPERATIONS OFFICER2747533
LEEDS, MARSHALL TODDDIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT1014569
NEARY, JOSEPH DANIELMANAGER2993505
OLSON, GREGORY ALANASSISTANT SECRETARY2692482
SHELSON, MARK PAULTREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event16
Arbitration5

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

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