LR
Leonard N. Rich
JOSEPH GUNNAR & CO.
UNIONDALE, NY 11556
Some features on this profile are disabled
CRD#: 375427
LR
Professional summary
Leonard Neil Rich is a registered financial professional currently at JOSEPH GUNNAR & CO. LLC located in Uniondale, New York.
Leonard is registered as a RR (Registered Representative) and started their career in finance in 1968. Leonard has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 5, Series 1 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Leonard Neil Rich'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
February 24, 2003 - Present
JOSEPH GUNNAR & CO. LLC
Office #1: 1000 Rxr Plaza East Tower, Uniondale, NY 11556RIA
BD
CRD#: 24795
UNIONDALE, NY
Past
September 1, 2001 - February 26, 2003
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
June 11, 1996 - September 1, 2001
M.S. FARRELL & COMPANY, INC.
BD
CRD#: 24232
SYOSSET, NY
Past
October 8, 1993 - June 10, 1996
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
September 5, 1991 - October 14, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
August 8, 1986 - September 24, 1991
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
September 17, 1984 - August 22, 1986
MOORE & SCHLEY, CAMERON & CO.
BD
CRD#: 6917
Past
November 22, 1977 - October 11, 1984
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
BD
CRD#: 7295
Past
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
BD
CRD#: 6774
Past
March 11, 1974 - November 8, 1974
HAYDEN STONE INC.
BD
CRD#: 6567
Past
November 5, 1971 - April 28, 1974
DEAN WITTER & CO. INCORPORATED
BD
CRD#: 6466
Past
August 19, 1968 - November 8, 1971
E. F. HUTTON & COMPANY INC
BD
CRD#: 235
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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
California(2/24/2003)
RR
Colorado(2/24/2003)
RR
Connecticut(2/24/2003)
RR
Florida(2/26/2003)
RR
Georgia(2/24/2021)
RR
Illinois(2/25/2003)
RR
Maryland(1/2/2014)
RR
New Jersey(2/24/2003)
RR
New York(2/24/2003)
RR
Texas(7/7/2015)
RR
Utah(12/17/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 1
Date: 9/28/1965
Registered Representative ExaminationPrincipal/Supervisory Exam
RR
Series 8
Date: 10/19/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.
CRD#: 24795 / SEC#: 801-121064, 8-41386
RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 68 |
| AUM (Assets Under Management) | $ 33,967,899 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 13 |
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.
