LL
Leo Loughead
REGIONS SECURITIES LLC
Atlanta, GA 30309
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CRD#: 3222715
LL
Professional summary
Leo Loughead, who also goes by Leo V Loughead, Leo VIncent Loughead III, Leo Vincent Loughead, is a registered financial professional currently at REGIONS SECURITIES LLC located in Atlanta, Georgia.
Leo is registered as a RR (Registered Representative) and started their career in finance in 1999. Leo has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Leo V Loughead | Leo Vincent Loughead Iii | Leo Vincent Loughead
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.
CRS (Client Relationship Summary) - BD
Click below to view Leo Loughead's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 25, 2019 - Present
REGIONS SECURITIES LLC
Office #1: 1180 W Peachtree Street Nw, Atlanta, GA 30309BD
CRD#: 159475
Atlanta, GA
Past
November 8, 2010 - May 1, 2018
TRUIST SECURITIES, INC.
BD
CRD#: 6271
ATLANTA, GA
Past
June 9, 2007 - July 8, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
July 1, 2004 - May 24, 2007
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
July 30, 1999 - July 1, 2004
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/20/2022)
RR
Alaska(1/20/2022)
RR
Arizona(1/20/2022)
RR
Arkansas(1/20/2022)
RR
California(7/22/2021)
RR
Colorado(1/20/2022)
RR
Connecticut(1/20/2022)
RR
Delaware(1/20/2022)
RR
District of Columbia(1/20/2022)
RR
Florida(1/20/2022)
RR
Georgia(1/25/2019)
RR
Hawaii(1/20/2022)
RR
Idaho(1/20/2022)
RR
Illinois(1/20/2022)
RR
Indiana(2/4/2021)
RR
Iowa(1/20/2022)
RR
Kansas(1/20/2022)
RR
Kentucky(1/20/2022)
RR
Louisiana(1/20/2022)
RR
Maine(1/20/2022)
RR
Maryland(1/20/2022)
RR
Massachusetts(1/20/2022)
RR
Michigan(1/20/2022)
RR
Minnesota(1/20/2022)
RR
Mississippi(1/20/2022)
RR
Missouri(1/20/2022)
RR
Montana(1/20/2022)
RR
Nebraska(1/20/2022)
RR
Nevada(1/20/2022)
RR
New Hampshire(1/20/2022)
RR
New Jersey(1/20/2022)
RR
New Mexico(1/20/2022)
RR
New York(1/20/2022)
RR
North Carolina(1/20/2022)
RR
North Dakota(1/20/2022)
RR
Ohio(1/20/2022)
RR
Oklahoma(1/20/2022)
RR
Oregon(7/22/2021)
RR
Pennsylvania(1/20/2022)
RR
Rhode Island(1/20/2022)
RR
South Carolina(2/4/2021)
RR
South Dakota(1/20/2022)
RR
Tennessee(1/20/2022)
RR
Texas(1/20/2022)
RR
Utah(1/20/2022)
RR
Vermont(1/20/2022)
RR
Virginia(1/20/2022)
RR
Washington(1/20/2022)
RR
West Virginia(1/20/2022)
RR
Wisconsin(1/20/2022)
RR
Wyoming(1/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
RS
REGIONS SECURITIES LLC
REGIONS SECURITIES | REGIONS SECURITIES LLC
CRD#: 159475 / SEC#: , 8-68990
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Mailing Address
1180 W Peachtree Street, Nw Suite 1400, Atlanta, GA 30309
Phone number
(404) 279-7400
Established
Delaware since 10/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RFC FINANCIAL SERVICES HOLDING LLC | PARENT | |
| AMIN, RITVIG NIPENDRA | CHAIRMAN OF THE BOARD & DIRECTOR | 2901218 |
| GIARDINO, NEIL | CEO, PRESIDENT AND DIRECTOR | 2428962 |
| HOLLOWAY, GLENN CHRISTOPHER | FINOP, CFO, PFO, POO & DIRECTOR | 4566759 |
| MAGGIORE, JILL WRIGHT | CHIEF COMPLIANCE OFFICER & DIRECTOR | 1001068 |
| MAXWELL, JASON MATTHEW | CHIEF LEGAL OFFICER & DIRECTOR | 5997125 |
Disclosures
| Regulatory Event | 1 |
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.
