Leroy R. Yaeger
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.
Leroy Russell Yaeger, who also goes by Le Yaeger, was a registered financial professional .
Leroy is a previously registered financial professional and started their career in finance in 1970. Leroy had worked at 5 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 1991 - July 31, 2018
HUNTLEIGH SECURITIES CORPORATION
January 12, 1982 - May 8, 1991
A. G. EDWARDS & SONS, INC.
April 4, 1978 - January 18, 1982
BLUNT ELLIS & LOEWI INCORPORATED
August 29, 1975 - April 4, 1978
LOEWI & CO., INCORPORATED
February 23, 1972 - September 18, 1975
R. ROWLAND & CO., INCORPORATED
September 28, 1970 - March 19, 1972
LOEWI & CO., 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: 1/1/1977
AMEX Put and Call ExamSeries 1
Date: 7/11/1970
Registered Representative ExaminationCurrent Firm
HUNTLEIGH SECURITIES CORPORATION
CRD#: 7456 / SEC#: , 8-21893
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMBERS, ROBERT LEWIS | PRESIDENT/DIRECTOR/OWNER | 1231649 |
| GAO CONSULTING, LLC | OWNER | |
| CHAMBERS, ROBERT BARRETT | DIRECTOR | 6963634 |
| LEOPOLD, MICHAEL WARREN | DIRECTOR | 306991 |
| MARSHALL, CATHERINE TERRY | CCO/DIRECTOR/CORPORATE SECRETARY | 1445205 |
| O'CONNELL, CHRISTOPHER CORY | DIRECTOR | 5008251 |
| OVERSCHMIDT, GREG ALFRED | DIRECTOR | 1160877 |
| THOMAS, KAREN LEE | CHIEF OPERATIONS OFFICER AND FIN/OP | 1970467 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
