Leonard T. Laresca
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 Thomas Laresca was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1980. Leonard had worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 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
November 22, 2010 - January 3, 2023
PUMA CAPITAL, LLC
March 18, 2005 - November 12, 2010
DOMESTIC SECURITIES, INC.
September 3, 2002 - April 15, 2005
GRANTA CAPITAL GROUP LLC
January 7, 2002 - September 3, 2002
DONALD & CO. SECURITIES INC.
December 19, 2000 - December 21, 2001
DEUTSCHE IXE, LLC
October 11, 1999 - January 1, 2001
APEX CLEARING CORPORATION
May 7, 1992 - December 3, 1998
NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.
November 8, 1990 - May 14, 1992
PRUDENTIAL EQUITY GROUP, LLC
April 23, 1980 - March 12, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/13/1999
Limited Representative-Equity Trader ExamCurrent Firm
PUMA CAPITAL, LLC
CRD#: 146744 / SEC#: , 8-67849
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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