Daniel T. Leigh
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.
Daniel Thomas Leigh, who also goes by Dan Leigh, Daniel T Leigh, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1997. Daniel had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 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
August 7, 2015 - November 18, 2016
FIRST CLEARING, LLC
February 7, 2012 - September 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2012 - September 2, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 22, 2005 - December 2, 2011
EDWARD JONES
July 22, 2005 - December 2, 2011
EDWARD JONES
October 11, 2002 - July 8, 2005
MSI FINANCIAL SERVICES, INC.
July 2, 2002 - July 8, 2005
METROPOLITAN LIFE INSURANCE COMPANY
July 2, 2002 - July 8, 2005
MSI FINANCIAL SERVICES, INC.
December 3, 1999 - February 5, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 1997 - December 6, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST CLEARING, LLC
CRD#: 17344 / SEC#: , 8-35158
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Arbitration | 2 |
Red Flags
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