William M. Leonard
Professional summary
William Mccabe Leonard was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
William Mccabe Leonard, who also goes by Bill Leonard, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 12 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2018 - April 9, 2019
J.H. DARBIE & CO., INC.
October 1, 2015 - December 15, 2017
BMA SECURITIES, LLC
November 18, 2014 - October 9, 2015
WINDSOR STREET CAPITAL, LP
September 3, 2014 - November 4, 2014
FREEDOM INVESTORS CORP.
June 4, 2010 - November 4, 2014
MERRIMAC CORPORATE SECURITIES, INC.
May 11, 2010 - May 20, 2010
SCOTTSDALE CAPITAL ADVISORS CORP
January 29, 2009 - March 23, 2010
FINANCE 500, INC.
January 16, 2008 - December 18, 2008
THOMAS ANTHONY & ASSOCIATES , INC.
August 17, 2007 - February 19, 2008
WESTMINSTER SECURITIES CORPORATION
January 19, 2007 - June 1, 2007
SEABOARD SECURITIES, INC.
November 3, 2003 - February 5, 2007
EMPIRE FINANCIAL GROUP, INC.
July 20, 1999 - October 14, 2003
MORGAN KEEGAN & COMPANY, 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
Series 55
Date: 6/13/2000
Limited Representative-Equity Trader ExamCurrent Firm
J.H. DARBIE & CO., INC.
CRD#: 43520 / SEC#: , 8-50335
Contact information
FINRA licenses (46 States and Territories)
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
