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JL

John K. Leonard

Some features on this profile are disabled
CRD#: 3257298
JL

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.

John Kent Leonard JR, who also goes by Jay Kent Leonard Jr, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2004. John had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jay Kent Leonard Jr

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

October 2, 2006 - December 20, 2006

SPIKE FINANCIAL SERVICES, LLC

BD
CRD#: 112193
CHICAGO, IL
Past

May 19, 2006 - December 23, 2019

GAR WOOD SECURITIES, LLC

BD
CRD#: 138033
Chicago, IL
Past

September 19, 2005 - September 29, 2006

SPIKE FINANCIAL SERVICES, LLC

BD
CRD#: 112193
CHICAGO, IL
Past

March 4, 2004 - September 19, 2005

TJM INVESTMENTS, LLC

BD
CRD#: 46300
CHICAGO, IL

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
IAR
Series 65
Date: 7/12/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/23/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/3/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/18/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2017
General Securities Principal Examination

Current Firm

SF
SPIKE FINANCIAL SERVICES, LLC
SPIKE FINANCIAL SERVICES, LLC | TITAN TRADING SERVICES, LLC

CRD#: 112193 / SEC#: , 8-53225

BD
Terminated by SEC on 02/20/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 11/08/2000
Firm type
Limited Liability Company
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PONTARELLI, ANTHONY TMEMBER4379261
DAGOSTINO, VINCE DMEMBER4379320
TITAN HOLDINGS, LLCMEMBER
WALSH, MICHAEL PATRICKMEMBER4379257
KHOLAMIAN, DRO YEREVANTEMEMBER
AMABILE, SAMMEMBER4379288
EVEY, THOMAS JAMESCEO, CCO, CFO, EXECUTIVE REP., SROP & CROP1157236
GRAZIANO, DAVID JOSEPHMEMBER4379277
MUELLER, THOMAS ANDREWMEMBER1164019

Disclosures

Regulatory Event2

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

SPIKE FINANCIAL SERVICES, LLC

CRD#: 112193

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