Loomis C. Leedy
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.
Loomis Chapman Leedy III, who also goes by Bill Leedy III, Loomis Chapman Leedy, was a registered financial professional .
Loomis is a previously registered financial professional and started their career in finance in 1974. Loomis had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2012 - December 31, 2019
WORLD INVESTMENTS, LLC
July 20, 2012 - December 31, 2019
WORLD INVESTMENTS, LLC
January 12, 2009 - July 30, 2012
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
July 2, 2008 - July 30, 2012
INTERNATIONAL ASSETS ADVISORY, LLC
August 11, 2005 - July 2, 2008
FIVE X SECURITIES, LLC
February 27, 2004 - August 8, 2005
RBC CAPITAL MARKETS, LLC
February 27, 2004 - August 8, 2005
RBC CAPITAL MARKETS, LLC
June 1, 1998 - February 27, 2004
WILLIAM R. HOUGH & CO.
June 1, 1998 - February 27, 2004
WILLIAM R. HOUGH & CO.
February 6, 1976 - August 12, 1998
THE LEEDY CORPORATION
February 27, 1975 - June 19, 1975
THE PIERCE, WULBERN, MURPHEY CORPORATION
January 25, 1974 - February 27, 1975
PIERCE WULBERN MURPHEY INC
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: 1/19/1974
Registered Representative ExaminationF04
Date: 7/19/1978
Financial Principal ExaminationSeries 40
Date: 7/19/1978
Registered Principal ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 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.
