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CH

Charles P. Harper

LEONIS SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5888172
CH

Professional summary

Charles Plimpton Harper is a registered financial professional currently at LEONIS SECURITIES, LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2014. Charles has worked at 3 firms and has passed the Series 63, SIE, Series 62 and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Plimpton Harper's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 30, 2025 - Present

LEONIS SECURITIES, LLC

Office #1: 320 Park Avenue 34th Floor, New York, NY 10022
BD
CRD#: 284307
New York, NY
Past

April 26, 2021 - July 25, 2025

VAQUERO CAPITAL LLC

BD
CRD#: 137753
SAN FRANCISCO, CA
Past

March 4, 2014 - April 12, 2021

KEMA PARTNERS LLC

BD
CRD#: 143752
MILL VALLEY, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/30/2025)
RR
New York
(7/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/15/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 62
Date: 6/24/2014
Corporate Securities Limited Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 3/4/2014
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LEONIS SECURITIES, LLC
LEONIS SECURITIES, LLC

CRD#: 284307 / SEC#: , 8-69797

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
320 Park Avenue 34th Floor, New York, NY 10022
Mailing Address
320 Park Avenue 34th Floor, New York, NY 10022
Phone number
(212) 804-8816
Established
Delaware since 05/25/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEONIS PRINCIPAL, LLCOWNER/ MEMBER
ALVAREZ, ENRIQUEFINOP4622342
KOVEN, ROBERT JEROLD PAYNECEO, CCO, AMLCO, EXEC. REP.5224097

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.

Company Information

LEONIS SECURITIES, LLC

CRD#: 284307New York, NY 10022

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