Leor Drori
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.
Leor Drori, who also goes by Leo Drori, was a registered financial professional .
Leor is a previously registered financial professional and started their career in finance in 2007. Leor had worked at 4 firms and has passed the SIE, Series 37 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
March 22, 2013 - May 23, 2018
INSTINET, LLC
August 17, 2011 - April 12, 2012
INFINIUM SECURITIES INC.
November 28, 2008 - January 4, 2010
CITIGROUP GLOBAL MARKETS INC.
March 12, 2007 - October 24, 2008
NBF SECURITIES (USA) CORP.
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
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 37
Date: 3/11/2007
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
