Phyllis J. Leibman
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.
Phyllis Joy Leibman, who also goes by Phyllis Joy Bunzel, Phyllis Joy Glanstein, was a registered financial professional .
Phyllis is a previously registered financial professional and started their career in finance in 1981. Phyllis had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2005 - December 23, 2024
SIERRA INVESTMENT MANAGEMENT, LLC
June 15, 1995 - January 3, 2006
FMN CAPITAL CORPORATION
February 2, 1992 - April 25, 2006
FINANCIAL MANAGEMENT NETWORK INC
November 28, 1989 - June 14, 1995
SUNAMERICA SECURITIES, INC.
May 6, 1981 - December 21, 1989
G. R. PHELPS & CO., INC.
Primary Firm SEC Registration
SIERRA INVESTMENT MANAGEMENT, LLC
CRD#: 106615 / SEC#: 801-42954
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
Current Firm
SIERRA INVESTMENT MANAGEMENT, LLC
CRD#: 106615 / SEC#: 801-42954
Contact information
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 832 |
| AUM (Assets Under Management) | $ 385,106,648 |
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.
