Gerald R. Leffler
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.
Gerald Ray Leffler was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1972. Gerald had worked at 13 firms and has passed the Series 1 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 30, 1991 - December 4, 2012
PORTFOLIO ADVISORS, INC.
June 19, 1991 - August 30, 1997
PACIFIC FINANCIAL ASSOCIATES, INC.
November 7, 1989 - May 24, 1991
TITAN/VALUE EQUITIES GROUP, INC.
October 4, 1989 - August 6, 1997
NATIONWIDE INVESTMENT SERVICES CORPORATION
December 7, 1988 - November 7, 1989
VALUE EQUITIES CORPORATION
May 11, 1984 - December 6, 1988
ASSOCIATED SECURITIES CORP.
February 23, 1982 - May 17, 1984
LPL FINANCIAL LLC
January 2, 1980 - February 23, 1982
FINANCIAL PLANNERS EQUITY CORPORATION
June 14, 1976 - January 17, 1980
SOUTHMARK FINANCIAL SERVICES, INC.
January 28, 1976 - June 3, 1976
DAVE FRIES AND ASSOCIATES
January 7, 1976 - July 16, 1976
ADVANTAGE CAPITAL CORPORATION
May 23, 1975 - June 17, 1976
LFG SECURITIES, INC.
January 29, 1974 - June 17, 1975
SOUTHMARK FINANCIAL SERVICES, INC.
December 7, 1972 - March 11, 1974
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
Primary Firm SEC Registration
PORTFOLIO ADVISORS, INC.
CRD#: 106111 / SEC#: 801-38220
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: 11/30/1972
Registered Representative ExaminationSeries 40
Date: 6/24/1976
Registered Principal ExaminationCurrent Firm
PORTFOLIO ADVISORS, INC.
CRD#: 106111 / SEC#: 801-38220
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 755 |
| AUM (Assets Under Management) | $ 224,251,297 |
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.
