Leo W. Ottey
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.
Leo Wesley Ottey III, who also goes by Leo Wesley Ottey, was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 2008. Leo had worked at 4 firms and has passed the Series 66, SIE, Series 34, Series 3, Series 7, Series 9 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2017 - August 6, 2018
FOREST SECURITIES,INC.
March 7, 2013 - July 27, 2015
OPTIONSXPRESS, INC.
October 12, 2010 - December 2, 2011
GAR WOOD SECURITIES, LLC
August 19, 2008 - October 29, 2008
NORTHWESTERN MUTUAL INVESTMENT 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
FOREST SECURITIES,INC.
CRD#: 16255 / SEC#: , 8-33568
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVE TRIBAL ALLIANCE, LLC | SOLE SHAREHOLDER | |
| DUNNE, MICHAEL FITZGERALD | PRESIDENT/COO/FINOP/CCO | 1676474 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
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.
