Leonard W. Patti

MCAP LLC

NEW YORK, NY 10017

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CRD#: 4276315

Professional summary

Leonard William Patti, who also goes by Len Patti, is a registered financial professional 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 and Series 10 exams.

Question & Answer

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Aliases

Len Patti

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) - BD

Click below to view Leonard William Patti's CRS (Customer Relationship Summary).

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

Current

September 6, 2018 - Present

MCAP LLC

Office #1: 100 Park Avenue Suite 2201, New York, NY 10017Office #2: 100 Park Avenue Suite 2201, New York, NY 10017

CRD#: 139515

NEW YORK, NY

Past

October 12, 2015 - September 21, 2018

INSTINET, LLC

CRD#: 7897

NEW YORK, NY

Past

July 22, 2009 - August 14, 2015

AQUA SECURITIES L.P.

CRD#: 47681

NEW YORK, NY

Past

July 20, 2009 - August 14, 2015

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

June 8, 2005 - April 28, 2006

INSTITUTIONAL DIRECT INC.

CRD#: 23019

NEW YORK, NY

Past

October 16, 2001 - June 18, 2008

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(11/7/2018)

New York
(9/6/2018)

Texas
(8/24/2021)

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

MCAP LLC

EQUISEARCH SECURITIES, INC. | MCAP LLC | MADISON CAPITAL MARKETS, LLC | MADISON CAPITAL MARKETS, INC.

CRD#: 139515 / SEC#: , 8-67217

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Park Avenue Suite 2201, New York, NY 10017

Mailing Address

100 Park Avenue Suite 2201, New York, NY 10017

Phone number

(212) 750-1056

Established

Delaware since 11/21/2007

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MCAP TECHNOLOGIES LLC	OWNER
DENNIS, WILLIAM CHOWNING	PRESIDENT	4282868
MENN, DAVID ROBERT	CHIEF EXECUTIVE OFFICER	2283670
MULLEN, GREGORY VINCENT	CHIEF FINANCIAL OFFICER & FINOP	2048657
PATTI, LEONARD WILLIAM	CHIEF COMPLIANCE OFFICER	4276315

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Leonard W. Patti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leonard William Patti's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTINET, LLC

AQUA SECURITIES L.P.

CANTOR FITZGERALD & CO.

INSTITUTIONAL DIRECT INC.

J.P. MORGAN SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/11/2002

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 4/10/2006

Series 55

Date: 6/11/2002

Series 7

Date: 10/15/2001

Series 14

Date: 1/2/2023

Series 53

Date: 12/11/2006

Series 24

Date: 3/12/2004

Series 4

Date: 7/30/2003

Series 9

Date: 5/15/2003

Series 10

Date: 4/4/2003

FINRA

Nasdaq Stock Market

Current Firm

MCAP LLC

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MCAP LLC

TRUST BUT VERIFY

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