Leighton D. Applefeld
Professional summary
Leighton David Applefeld was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leighton is a previously registered financial advisor and started their career in finance in 1973. Prior to being barred, Leighton had worked at 23 firms, which includes TRADERIGHT SECURITIES INC., NFSG CORPORATION, NEWBRIDGE SECURITIES CORPORATION, KOVACK SECURITIES INC., UVEST FINANCIAL SERVICES GROUP INC., MUTUAL SERVICE CORPORATION, LPL FINANCIAL LLC, CETERA WEALTH SERVICES LLC, GILMORE SECURITIES & CO., SIGMA FINANCIAL CORPORATION, WOODBURY FINANCIAL SERVICES INC., WEALTH BUILDERS EQUITY CORPORATION, STONEX SECURITIES INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, SHEEN FINANCIAL RESOURCES INC., FOCUS II SECURITIES INC., HYM FINANCIAL INC., CADARET GRANT & CO. INC., FOCUS SECURITIES INC., CARDELL & ASSOCIATES INCORPORATED, GREEN HILL FINANCIAL SERVICE CORPORATION, SUN LIFE FINANCIAL DISTRIBUTORS INC., GENERAL AMERICAN LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2006 - August 22, 2006
TRADERIGHT SECURITIES, INC.
February 1, 2005 - April 4, 2006
NFSG CORPORATION
July 9, 2004 - April 4, 2006
NEWBRIDGE SECURITIES CORPORATION
March 23, 2004 - June 18, 2004
KOVACK SECURITIES INC.
February 25, 2004 - March 19, 2004
UVEST FINANCIAL SERVICES GROUP, INC.
October 30, 2003 - February 4, 2004
MUTUAL SERVICE CORPORATION
September 23, 2003 - February 4, 2004
MUTUAL SERVICE CORPORATION
November 21, 2000 - October 2, 2003
LPL FINANCIAL LLC
November 17, 2000 - October 2, 2003
LPL FINANCIAL LLC
September 9, 1999 - November 20, 2000
CETERA WEALTH SERVICES, LLC
January 4, 1999 - December 1, 1999
GILMORE SECURITIES & CO.
July 24, 1996 - November 12, 1998
SIGMA FINANCIAL CORPORATION
November 8, 1995 - August 5, 1996
WOODBURY FINANCIAL SERVICES, INC.
March 2, 1995 - November 14, 1995
WEALTH BUILDERS EQUITY CORPORATION
October 7, 1994 - March 14, 1995
STONEX SECURITIES INC.
March 3, 1994 - August 31, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 20, 1990 - March 9, 1994
WEALTH BUILDERS EQUITY CORPORATION
June 15, 1990 - November 20, 1990
SHEEN FINANCIAL RESOURCES, INC.
October 12, 1989 - February 27, 1990
FOCUS II SECURITIES, INC.
August 7, 1989 - September 1, 1989
HYM FINANCIAL, INC.
October 28, 1988 - August 9, 1989
CADARET, GRANT & CO., INC.
August 21, 1984 - October 31, 1988
FOCUS SECURITIES, INC.
June 25, 1982 - May 9, 1984
CARDELL & ASSOCIATES, INCORPORATED
December 7, 1976 - July 30, 1980
GREEN HILL FINANCIAL SERVICE CORPORATION
July 11, 1973 - July 1, 1976
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
January 2, 1973 - October 10, 1973
GENERAL AMERICAN LIFE INSURANCE COMPANY
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 1
Date: 12/16/1972
Registered Representative ExaminationSeries 00
Date: 4/27/1973
General Securities Principal ExaminationCurrent Firm
TRADERIGHT SECURITIES, INC.
CRD#: 45598 / SEC#: , 8-51101
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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