Roger W. Leaf
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.
Roger Warren Leaf was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1973. Roger had worked at 7 firms and has passed the Series 63, Series 82, Series 79, Series 7, Series 3, Series 1, Series 000, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2014 - June 24, 2014
ACHATES CAPITAL ADVISORS LLC
January 6, 2005 - April 7, 2010
PERSHING LLC
April 23, 1984 - July 30, 1993
CREDIT SUISSE SECURITIES (USA) LLC
January 19, 1981 - April 17, 1984
MORGAN STANLEY & CO. LLC
February 24, 1978 - February 9, 1981
MORGAN STANLEY DW INC.
March 28, 1974 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 2, 1973 - June 6, 1974
DUPONT WALSTON, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/25/1973
Registered Representative ExaminationSeries 000
Date: 6/1/1973
General Securities Principal ExaminationCurrent Firm
ACHATES CAPITAL ADVISORS LLC
CRD#: 153219 / SEC#: , 8-68513
Contact information
Documents
Red Flags
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