Ivan R. Weiss
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.
Ivan Richard Weiss JR, who also goes by IVan Richard Weiss Jr, Ivan Richard Weiss Jr., Ivan Richard Weiss, Ivan Richard Weiss, Jr., was a registered financial professional .
Ivan is a previously registered financial professional and started their career in finance in 2004. Ivan had worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2016 - January 21, 2016
THE LEADERS GROUP, INC.
October 12, 2010 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 11, 2010 - December 31, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 15, 2008 - June 16, 2010
USAA FINANCIAL PLANNING SERVICES
February 15, 2008 - June 16, 2010
USAA FINANCIAL ADVISORS, INC.
August 12, 2006 - April 12, 2007
UBS FINANCIAL SERVICES INC.
April 16, 2004 - August 12, 2006
PIPER SANDLER & CO.
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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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