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RL

Robert H. Leshner

Some features on this profile are disabled
CRD#: 307225
RL

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 Harvey Leshner was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 1, F04 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 12, 2004 - June 23, 2005

ROBERT LESHNER AND ASSOCIATES, INC.

BD
CRD#: 121975
CINCINNATI, OH
Past

August 2, 2002 - October 1, 2014

ROBERT LESHNER AND ASSOCIATES, INC.

RIA
CRD#: 121975
CINCINNATI, OH
Past

December 22, 1994 - March 5, 2002

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
CINCINNATI, OH
Past

June 30, 1987 - December 22, 1994

LESHNER FINANCIAL SERVICES, INC.

BD
CRD#: 19844
CINCINNATI, OH
Past

April 10, 1980 - July 6, 1987

W&S BROKERAGE SERVICES, INC.

BD
CRD#: 8099
Past

December 30, 1977 - January 20, 1980

RDSC, LLC

BD
CRD#: 7519
Past

February 16, 1977 - September 8, 1978

SEASONGOOD & MAYER

BD
CRD#: 3321
Past

October 11, 1974 - February 8, 1978

ROBERT H. LESHNER & CO., INC.

BD
CRD#: 6754
Past

June 12, 1974 - December 7, 1974

A. E. AUB & CO.

BD
CRD#: 1130
Past

October 28, 1968 - July 3, 1974

GRADISON & COMPANY INCORPORATED

BD
CRD#: 859

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/6/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/10/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 11/13/1963
Registered Representative Examination
Principal/Supervisory Exam
RR
F04
Date: 8/6/1974
Financial Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/7/1974
Registered Principal Examination

Current Firm

RL
ROBERT LESHNER AND ASSOCIATES, INC.
ROBERT LESHNER AND ASSOCIATES, INC.

CRD#: 121975 / SEC#: 801-61352, 8-66155

BD
Terminated by SEC on 08/22/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
Ohio since 03/11/2002
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ROBERT LESHNER AND ASSOCIATES, INC. FORM ADV PART 2A (3/28/2014)

Direct owners and executive officers

NamePositionCRD#
LESHNER, ROBERT HARVEYCHAIRMAN, CEO, DIRECTOR307225
LESHNER, CAROL MOSKOWITZSECRETARY - INVESTMENT ADVISER ONLY1247124
PERETZKY, MARYELLENPRESIDENT, COO, TREASURER, ASST. SECRETARY, CHIEF COMPLIANCE OFFICER1062971

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.

Company Information

ROBERT LESHNER AND ASSOCIATES, INC.

CRD#: 121975

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