Leonard Einstein
Professional Summary
Leonard Einstein was a registered financial advisor. Leonard was a previously registered financial professional and started their career in finance 1974 - 2007. Leonard had worked at 3 firms and has passed the Series 65, SIE and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
52 years in the financial services industry
Current & Past Employments
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Current Firm
METROPOLITAN LIFE INSURANCE COMPANY
Contact Information
Established
New York since 03/24/1968Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | 100% SHAREHOLDER | — |
| BARNETTE, CURTIS HANDLEY | DIRECTOR | — |
| DOLE, BURTON A | DIRECTOR | — |
| GRISE, CHERYL | DIRECTOR | — |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER & ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HENRIKSON, CARL ROBERT | CHIEF EXECUTIVE OFFICER, PRESIDENT & CHAIRMAN OF THE BOARD | 243239 |
| HOLTZER, DAVID MICHAEL | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 4345697 |
| HOUGHTON, JAMES RICHARDSON | DIRECTOR | — |
| JOURNY, TIMOTHY LYONS | SENIOR VICE PRESIDENT AND GENERAL AUDITOR | — |
| KAMEN, HARRY PAUL | DIRECTOR | 1545937 |
| KANDARIAN, STEVEN ALBERT | EXECUTIVE VICE PRESIDENT & CIO | — |
| KAPLAN, HELENE L | DIRECTOR | — |
| KEANE, JOHN M. | DIRECTOR | — |
| KILTS, JAMES | DIRECTOR | — |
| LEIGHTON, CHARLES | DIRECTOR | — |
| LIPSCOMB, JAMES LOUIS | EXECUTIVE VICE PRESIDENT & GENERAL COUNSEL | — |
| MATHEWS, SYLVIA | DIRECTOR | — |
| MULLANEY, WILLIAM JOSEPH | PRESIDENT, INSTITUTIONAL BUSINESS | 2641484 |
| PRICE, HUGH BERNARD | DIRECTOR | — |
| REIN, CATHERINE AMELIA | SENIOR EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2605134 |
| SICCHITANO, KENTON JOSEPH | DIRECTOR | — |
| STEERE, WILLIAM CAMPBELL | DIRECTOR | — |
| TOPPETA, WILLIAM JOHN | PRESIDENT, INTERNATIONAL | 2835140 |
| VIETRI, MICHAEL JOSEPH | EXECUTIVE VICE PRESIDENT | 1068983 |
| WEBER, LISA M | PRESIDENT, INDIVIDUAL BUSINESS | — |
| WHEELER, WILLIAM JAMES | EXECUTIVE VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 1208521 |
Disclosures
Regulatory Event
11Civil Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Nov 1974Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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