Leila K. Shuminer
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.
Leila Kay Shuminer was a registered financial professional .
Leila is a previously registered financial professional and started their career in finance in 1972. Leila had worked at 13 firms and has passed the Series 63, PC, 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
April 6, 2010 - September 16, 2014
WESTMINSTER FINANCIAL SECURITIES, INC.
October 28, 2004 - March 22, 2010
LAIDLAW & COMPANY (UK) LTD.
November 19, 2001 - November 3, 2004
SANDS BROTHERS & CO., LTD.
August 31, 2001 - November 26, 2001
BLUESTONE CAPITAL CORP.
January 4, 1990 - August 31, 2001
SSI SECURITIES CORP.
March 23, 1984 - December 22, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 1, 1982 - March 29, 1984
CIBC WORLD MARKETS CORP.
July 27, 1979 - February 23, 1982
PERSHING LLC
March 21, 1979 - August 24, 1979
DREXEL BURNHAM LAMBERT INCORPORATED
January 18, 1978 - April 21, 1979
LOEB PARTNERS
January 4, 1977 - April 21, 1979
LOEB RHOADES & CO. INC.
June 12, 1973 - April 21, 1979
LOEB, RHOADES & CO. INC.
April 11, 1972 - April 15, 1973
DUPONT GLORE FORGAN INCORPORATED
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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 3/25/1972
Registered Representative ExaminationCurrent Firm
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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