Leon P. Gaskin
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.
Leon Pete Gaskin, who also goes by Leon Pete Gaskin Jr, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 2005. Leon had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2010 - June 23, 2015
TD AMERITRADE CLEARING, INC.
July 23, 2010 - December 14, 2010
WELLS FARGO INVESTMENTS, LLC
July 23, 2010 - December 14, 2010
WELLS FARGO INVESTMENTS, LLC
October 15, 2007 - July 27, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 15, 2007 - July 27, 2010
WELLS FARGO CLEARING SERVICES, LLC
August 17, 2006 - September 25, 2007
CHASE INVESTMENT SERVICES CORP.
August 17, 2006 - September 25, 2007
CHASE INVESTMENT SERVICES CORP.
November 24, 2005 - July 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 28, 2005 - July 11, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
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
TD AMERITRADE CLEARING, INC.
CRD#: 5633 / SEC#: , 8-16335
Contact information
Documents
Disclosures
| Regulatory Event | 27 |
| Arbitration | 27 |
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.
