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GL

George M. Leing

Some features on this profile are disabled
CRD#: 3078653
GL

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.

George M Leing was a registered financial professional .

George is a previously registered financial professional and started their career in finance in 1998. George had worked at 2 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

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

December 10, 2018 - November 25, 2019

CHATHAM FINANCIAL SECURITIES LLC

BD
CRD#: 118818
NEW YORK, NY
Past

October 21, 1998 - September 30, 2005

CAPSTAR PARTNERS, LLC

BD
CRD#: 29000
NEW YORK, NY

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
RR
Series 63
Date: 12/22/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 12/10/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/17/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/1998
General Securities Representative Examination

Current Firm

CF
CHATHAM FINANCIAL SECURITIES LLC
CHATHAM FINANCIAL SECURITIES LLC | HOWLAND SECURITIES LLC | ENABLE CAPITAL, LLC | EA MARKETS SECURITIES LLC

CRD#: 118818 / SEC#: , 8-53722

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
515 West 33rd Street 67th Floor, New York, NY 10001
Mailing Address
515 West 33rd Street 67th Floor, New York, NY 10001
Phone number
(646) 470-6587
Established
California since 03/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CHATHAM FINANCIAL EA HOLDINGS, LLCSOLE MEMBER
DANIELS, REUBEN SKYCEO2493301
HOBAN, JOSEPH MICHAELCFO & CCO5109631

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

CHATHAM FINANCIAL SECURITIES LLC

CRD#: 118818

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