Jay A. Leader
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.
Jay Allan Leader SR., who also goes by Jay A Leader, Jay Allan Leader, was a registered financial professional .
Jay is a previously registered financial professional and started their career in finance in 1968. Jay had worked at 6 firms and has passed the Series 66, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2013 - February 24, 2015
VANDERBILT SECURITIES, LLC
April 13, 2006 - December 13, 2013
RAMPART FINANCIAL SERVICES, INC.
February 24, 2006 - February 26, 2015
THE GWYNEDD COMPANY
June 1, 2005 - December 5, 2005
EQUITABLE ADVISORS, LLC
June 1, 2005 - December 5, 2005
EQUITABLE ADVISORS, LLC
June 19, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
May 25, 1972 - June 1, 2005
MONY SECURITIES CORPORATION
November 14, 1968 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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 1
Date: 9/25/1968
Registered Representative ExaminationCurrent Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| 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.
