Linda C. Leon
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.
Linda Carsten Leon, who also goes by Linda Sears Carsten, Linda Sue Carsten, Linda Sue Carsten Leon, Linda Sue Sears, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1974. Linda had worked at 9 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 4, Series 27, Series 24, Series 8 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
February 18, 2011 - October 9, 2014
EMPOWER FINANCIAL SERVICES, INC.
January 23, 2002 - October 14, 2003
LH ROSS & COMPANY, INC.
September 1, 2001 - October 31, 2001
NF CLEARING, INC.
March 9, 2001 - September 1, 2001
FISERV CORRESPONDENT SERVICES, INC.
August 31, 1998 - May 25, 1999
FAS WEALTH MANAGEMENT SERVICES, INC.
July 3, 1991 - August 31, 1998
BILTMORE SECURITIES, INC.
March 30, 1990 - November 16, 1990
PERSHING LLC
February 23, 1990 - April 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
December 9, 1988 - September 9, 1989
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 3, 1974 - April 1, 1979
ROTAN MOSLE 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 8
Date: 5/7/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 2/27/1976
Registered Principal ExaminationCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
