Roger A. 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.
Roger Alan Leonard, who also goes by Roger A Leonard Sr, Roger Alan Leonard, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1968. Roger had worked at 8 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2001 - December 17, 2012
NETWORK 1 FINANCIAL SECURITIES INC.
January 2, 1997 - November 16, 2001
LOCUST STREET SECURITIES, INC.
May 21, 1996 - December 31, 1996
TOWER SQUARE SECURITIES, INC.
July 21, 1993 - December 31, 1995
OSAIC FS, INC.
March 25, 1991 - March 5, 1992
GREEN HILL FINANCIAL SERVICE CORPORATION
May 9, 1990 - February 22, 1991
INVESTMENT ADVISORS & CONSULTANTS, INC.
October 6, 1969 - June 27, 1985
HARLEYSVILLE SECURITIES CORPORATION
May 23, 1969 - June 25, 1971
J B JOHNSTON ASSOCIATES
September 11, 1968 - May 15, 1990
TOWER SQUARE SECURITIES, 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: 12/26/1967
Registered Representative ExaminationCurrent Firm
NETWORK 1 FINANCIAL SECURITIES INC.
CRD#: 13577 / SEC#: , 8-29471
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 21 |
| Arbitration | 4 |
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.
