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LS

Leonard E. Salmanson

Some features on this profile are disabled
CRD#: 409443
LS

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 E Salmanson was a registered financial professional .

Leonard is a previously registered financial professional and started their career in finance in 1968. Leonard had worked at 9 firms and has passed the Series 63, PC, Series 1 and Series 4 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.

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

September 15, 1994 - November 5, 1997

FIRST UNION CAPITAL MARKETS CORP.

BD
CRD#: 6124
CHARLOTTE, NC
Past

January 19, 1989 - September 6, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

February 2, 1982 - January 24, 1989

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

September 12, 1978 - February 9, 1982

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

April 28, 1976 - February 23, 1979

MOSELEY, HALLGARTEN & ESTABROOK INC

BD
CRD#: 7501
Past

April 26, 1974 - April 28, 1976

MOSELEY, HALLGARTEN & ESTABROOK INC.

BD
CRD#: 6679
Past

August 10, 1973 - April 26, 1974

F. S. MOSELEY, ESTABROOK INC.

BD
CRD#: 6524
Past

March 17, 1972 - August 10, 1973

ESTABROOK & CO., INC.

BD
CRD#: 267
Past

July 22, 1968 - April 23, 1972

DUPONT WALSTON, INCORPORATED

BD
CRD#: 870

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
RR
Series 63
Date: 6/17/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 2/1/1979
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 1
Date: 5/19/1967
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/1977
Registered Options Principal Examination

Current Firm

FU
FIRST UNION CAPITAL MARKETS CORP.
FIRST UNION CAPITAL MARKETS CORP. | WHEAT, FIRST SECURITIES, INC.

CRD#: 6124 / SEC#: , 8-12886

BD
Terminated by SEC on 12/28/1999
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Contact information

Main Address
Mailing Address
Phone number
Established
Virginia since 04/12/1966
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Disclosures

Regulatory Event19
Arbitration3

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

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

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