Leonard A. Mayo
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 Anthony Mayo was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1967. Leonard had worked at 7 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2008 - December 31, 2011
INVESTORS CAPITAL CORP.
December 11, 2008 - December 31, 2011
INVESTORS CAPITAL CORP.
August 1, 1996 - February 26, 2016
MAGIS FINANCIAL PARTNERS
June 9, 1992 - July 16, 2007
WHARTON EQUITY CORPORATION
January 20, 1983 - September 2, 2008
RUTHERFORD, BROWN & CATHERWOOD, LLC
November 30, 1982 - December 27, 1982
F. W. BETLEY & ASSOCIATES
October 6, 1977 - June 24, 1982
VALLEY FORGE ASSET MANAGEMENT, LLC
April 21, 1967 - February 22, 1971
DEAN WITTER & CO. INCORPORATED
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: 4/17/1967
Registered Representative ExaminationCurrent Firm
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
