Leslie A. Flood
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.
Leslie Allen Flood, who also goes by L Allen Flood, was a registered financial professional .
Leslie is a previously registered financial professional and started their career in finance in 1981. Leslie had worked at 16 firms and has passed the Series 63, 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
July 23, 2003 - April 29, 2004
REDWOOD TRADING, LLC
January 31, 2003 - July 23, 2003
STG SECURE TRADING GROUP, INC.
April 7, 1999 - April 17, 2000
SCHONFELD SECURITIES, LLC
December 4, 1997 - April 16, 1999
PARKER BROMLEY LTD.
November 11, 1993 - April 21, 1994
ROYAL PALM INVESTMENTS, LTD.
October 14, 1993 - November 12, 1993
R.B. WEBSTER INVESTMENTS, INC.
June 21, 1993 - September 22, 1993
G.R. STUART & COMPANY, INC.
October 8, 1992 - June 18, 1993
CORTLANDT CAPITAL CORPORATION
October 16, 1991 - October 20, 1992
FIRST NEW ENGLAND SECURITIES CORPORATION
July 9, 1991 - August 7, 1991
CHATFIELD DEAN & CO., INC.
October 29, 1986 - May 14, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
December 14, 1984 - May 2, 1986
HUBERMAN SECURITIES CORP.
November 21, 1984 - December 13, 1984
RLR SECURITIES GROUP, INC.
August 30, 1984 - February 6, 1985
CHESLEY AND DUNN, INC.
July 13, 1983 - June 7, 1984
FIRST INTERWEST SECURITIES CORPORATION
October 7, 1982 - June 10, 1983
BLINDER, ROBINSON & CO., INC.
June 17, 1982 - August 19, 1982
BLINDER, ROBINSON & CO., INC.
February 23, 1981 - April 22, 1982
BLINDER, ROBINSON & CO., INC.
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 55
Date: 2/6/2003
Limited Representative-Equity Trader ExamCurrent Firm
REDWOOD TRADING, LLC
CRD#: 114774 / SEC#: , 8-53448
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
