Leonard V. Ross
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 Vaughn Ross, who also goes by Leonard Vaughn Oliphant, Leonard Oliphant, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1970. Leonard had worked at 10 firms and has passed the Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2000 - June 16, 2014
WESTERN PACIFIC SECURITIES, INC.
May 3, 1999 - August 25, 2000
BROOKSTREET SECURITIES CORPORATION
March 5, 1998 - May 21, 1999
INDEPENDENT FINANCIAL GROUP, LLC
August 6, 1997 - February 23, 1998
MOMENTUM INDEPENDENT NETWORK INC.
March 10, 1989 - November 5, 1991
CULLUM & SANDOW, INC.
November 29, 1988 - August 12, 1997
CULLUM & SANDOW SECURITIES, INC.
October 21, 1987 - March 8, 1988
MHM ENERGY INVESTMENTS, INC.
May 17, 1982 - December 31, 1988
LPL FINANCIAL LLC
March 24, 1975 - June 17, 1982
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 4, 1970 - April 15, 1975
THOMSON MCKINNON SECURITIES INC.
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: 5/10/1966
Registered Representative ExaminationCurrent Firm
WESTERN PACIFIC SECURITIES, INC.
CRD#: 26354 / SEC#: , 8-42515
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, LEONARD VAUGHN | CHEIF EXECUTIVE OFFICER, CHIEF COMPLIANCE OFFICER | 405128 |
Disclosures
| Regulatory Event | 4 |
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.
