Leon Sacks
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.
Leon Sacks was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1967. Leon had worked at 5 firms and has passed the Series 63, Series 1, Series 39 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 1985 - July 31, 2003
SAWO SECURITIES,INC.
November 8, 1982 - April 19, 1985
DALEY & COMPANY
August 29, 1978 - December 13, 1982
MERICKA & CO., INC.
July 10, 1972 - September 28, 1978
L. J. SCHULTZ AND CO., INC.
April 11, 1967 - August 16, 1972
MURCH & CO., 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: 7/19/1957
Registered Representative ExaminationSeries 40
Date: 8/21/1971
Registered Principal ExaminationCurrent Firm
SAWO SECURITIES,INC.
CRD#: 16074 / SEC#: , 8-33249
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DEERFIELD ESTATES, INC. | OWNER | |
| MADOW, PAUL BRIAN | PRESIDENT/DIRECTOR/CHIEF COMPLIANCE OFFICER | 1774707 |
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.
