Les T. Livingston
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.
Les Thomas Livingston, who also goes by Leslie Thomas Livingston, was a registered financial professional .
Les is a previously registered financial professional and started their career in finance in 1971. Les had worked at 5 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 1986 - August 18, 1992
LIVINGSTON SECURITIES, INC.
November 22, 1983 - December 4, 1986
PRUDENTIAL EQUITY GROUP, LLC
October 10, 1974 - August 8, 1983
BLACK & COMPANY, INC.
November 5, 1973 - November 10, 1974
SLOAN & CO
February 3, 1971 - December 19, 1973
GRIFFON MAY, 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: 1/26/1971
Registered Representative ExaminationCurrent Firm
LIVINGSTON SECURITIES, INC.
CRD#: 16455 / SEC#: , 8-34504
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.
