Leonard H. Seawell
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 Henderson Seawell was a registered financial advisor .
Leonard is a previously registered financial advisor and started their career in finance in 1973. Leonard had worked at 11 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 18, Series 000, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2013 - August 9, 2013
BT WEALTH MANAGEMENT, LLC
November 12, 2010 - July 3, 2012
OPPENHEIMER & CO. INC.
June 30, 2010 - July 3, 2012
OPPENHEIMER & CO. INC.
January 28, 2003 - February 5, 2008
MORGAN KEEGAN & COMPANY, LLC
October 26, 1999 - February 5, 2008
MORGAN KEEGAN & COMPANY, LLC
May 11, 1995 - November 1, 1999
J.C. BRADFORD & CO.
September 22, 1993 - May 15, 1995
STERNE, AGEE & LEACH, INC.
April 12, 1989 - July 27, 1989
FIRST UNION CAPITAL MARKETS CORP.
June 2, 1987 - April 19, 1989
MARSHALL & CO. SECURITIES, INC.
December 6, 1984 - June 16, 1987
SEAWELL WYAND CAPITAL,INC.
July 6, 1982 - June 18, 1984
ALEX. BROWN & SONS INCORPORATED
August 12, 1980 - July 7, 1982
THE ROBINSON-HUMPHREY COMPANY, LLC
February 11, 1980 - September 4, 1980
LEHMAN BROTHERS INC.
April 23, 1973 - March 10, 1977
THE ROBINSON-HUMPHREY COMPANY, LLC
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 18
Date: 2/4/1980
Securities Industry Rules and Regulations ExaminationSeries 000
Date: 4/18/1973
General Securities Principal ExaminationSeries 1
Date: 4/18/1973
Registered Representative ExaminationSeries 8
Date: 1/29/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BT WEALTH MANAGEMENT, LLC
CRD#: 147729 / SEC#: 801-69372
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,327 |
| AUM (Assets Under Management) | $ 1,050,371,918 |
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.
