Leonard S. Wine
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 Stevenson Wine, who also goes by Len Wine, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1973. Leonard had worked at 10 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 1997 - March 25, 1998
LUMIERE SECURITIES, INC.
April 4, 1994 - September 5, 1997
STRATEGIC RESOURCE MANAGEMENT, INC.
July 14, 1988 - July 8, 1993
SCHNEIDER SECURITIES, INC.
November 3, 1983 - July 12, 1988
FITZGERALD, TALMAN, INC.
January 12, 1978 - November 25, 1983
DEVANNEY, BURGIN, SHANACY, INC.
April 12, 1977 - January 9, 1978
FIRST FINANCIAL SECURITIES, INC.
November 19, 1976 - May 18, 1977
PITTMAN & COMPANY, INCORPORATED
April 12, 1973 - December 18, 1976
AMERICAN EXPRESS FINANCIAL CORPORATION
April 12, 1973 - December 18, 1976
AMERIPRISE FINANCIAL SERVICES, LLC
April 12, 1973 - December 18, 1976
IDS LIFE INSURANCE COMPANY
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 1
Date: 3/29/1973
Registered Representative ExaminationCurrent Firm
LUMIERE SECURITIES, INC.
CRD#: 13414 / SEC#: , 8-29275
Contact information
Documents
Red Flags
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