Robert A. Leo
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.
Robert Alan Leo was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1969. Robert had worked at 7 firms and has passed the Series 63, Series 41, Series 5, PC, Series 1, Series 12 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
August 23, 1994 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
August 11, 1994 - January 6, 2004
MFS FUND DISTRIBUTORS, INC.
July 31, 1993 - January 25, 1994
CITIGROUP GLOBAL MARKETS INC.
December 15, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - December 15, 1976
SHEARSON HAYDEN STONE INC.
September 11, 1970 - November 8, 1974
HAYDEN STONE INC.
December 15, 1969 - July 31, 1993
LEHMAN BROTHERS 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 41
Date: 5/4/1985
NYSE Allied Member ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 6/21/1977
AMEX Put and Call ExamSeries 1
Date: 12/8/1969
Registered Representative ExaminationSeries 12
Date: 2/3/1977
NYSE Branch Manager ExaminationSeries 40
Date: 12/11/1976
Registered Principal ExaminationCurrent Firm
MFS FINANCIAL SERVICES, INC.
CRD#: 18309 / SEC#: , 8-36301
Contact information
Documents
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.
