James M. Leonard
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.
James Michael Leonard was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1969. James had worked at 8 firms and has passed the Series 63, PC, Series 5, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 11, 2000 - December 31, 2023
JRP CAPITAL CORP
June 29, 1989 - May 14, 1993
J.C. BRADFORD & CO.
April 11, 1988 - June 23, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 15, 1988 - April 19, 1988
LEHMAN BROTHERS INC.
March 28, 1980 - February 15, 1988
E. F. HUTTON & COMPANY INC
April 9, 1979 - April 28, 1980
PRUDENTIAL EQUITY GROUP, LLC
October 21, 1974 - January 6, 1979
ROBERT W. BAIRD & CO. INCORPORATED
February 3, 1969 - November 23, 1974
STONE & WEBSTER SECURITIES CORPORATION
Primary Firm SEC Registration
JRP CAPITAL CORP
CRD#: 106285 / SEC#: 801-122786
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
PC
Date: 10/19/1982
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 8/20/1968
Registered Representative ExaminationSeries 12
Date: 4/8/1980
NYSE Branch Manager ExaminationCurrent Firm
JRP CAPITAL CORP
CRD#: 106285 / SEC#: 801-122786
Contact information
Regulatory assets under management
| Total Number of Accounts | 160 |
| AUM (Assets Under Management) | $ 108,500,000 |
Red Flags
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