Leonard William Patti
Professional Summary
Leonard William Patti, who also goes by Len Patti, is a registered financial advisor currently at MCAP LLC located in New York, New York. Leonard is registered as a RR (Registered Representative) and started their career in finance in 2001. Leonard has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 52TO, SIE, Series 3, Series 55, Series 7, Series 14, Series 53, Series 24, Series 4, Series 9...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Len Patti
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.
Contact Information
Main Address
100 Park Avenue Suite 2201, New York, NY 10017Mailing Address
100 Park Avenue Suite 2201, New York, NY 10017Phone Number
(212) 750-1056Established
Delaware since 11/21/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(11/7/2018)
(9/6/2018)
(8/24/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 55 — Limited Representative-Equity Trader Exam
Passed Jun 2002Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2003About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2003About the Series 10 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Leonard William Patti's CRS (Customer Relationship Summary).
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