Leonard J. Paganelli
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.
Leonard Joseph Paganelli, who also goes by Len Paganelli, Leonard J Paganelli, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1980. Leonard had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2015 - July 12, 2016
LIFEMARK SECURITIES CORP.
May 3, 1999 - October 9, 2015
PARK AVENUE SECURITIES LLC
April 3, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
January 10, 1992 - March 30, 1995
CADARET, GRANT & CO., INC.
June 23, 1989 - November 29, 1990
LOCUST STREET SECURITIES, INC.
February 27, 1989 - June 7, 1989
FSC SECURITIES CORPORATION
July 17, 1987 - March 7, 1989
EASTERN STATES SECURITIES, INC.
April 16, 1980 - May 18, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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: 4/7/1980
Registered Representative ExaminationCurrent Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
