Leonard Mayer
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.
Leonard Mayer was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1967. Leonard had worked at 4 firms and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2001 - May 1, 2008
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
April 13, 1996 - January 11, 1999
CHARLES SCHWAB & CO., INC.
June 12, 1972 - June 18, 1973
GODNICK & SON INC
November 14, 1967 - November 17, 2000
UBS CAPITAL MARKETS L.P.
Primary Firm SEC Registration
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
CRD#: 2625 / SEC#: 801-67134, 8-8132
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: 7/31/1958
Registered Representative ExaminationSeries 00
Date: 11/3/1967
General Securities Principal ExaminationCurrent Firm
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
CRD#: 2625 / SEC#: 801-67134, 8-8132
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 17,091,640,696 |
Disclosures
| Regulatory Event | 9 |
| Civil 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.
