Leonard A. Robbins
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 Alan Robbins was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1975. Leonard had worked at 7 firms and has passed the Series 63, Series 5, 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 5, 1984 - September 12, 2003
PRIVATE INVESTORS EQUITY GROUP
September 25, 1984 - December 24, 1984
U.E.C. SECURITIES, INC.
August 24, 1983 - September 28, 1984
AMERICAN DIVERSIFIED EQUITY CORPORATION
February 26, 1982 - August 5, 1982
BECKER PARIBAS INCORPORATED
August 29, 1979 - January 26, 1982
CIBC WORLD MARKETS CORP.
February 24, 1978 - September 1, 1979
MORGAN STANLEY DW INC.
November 20, 1975 - February 24, 1978
REYNOLDS SECURITIES, 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 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
PRIVATE INVESTORS EQUITY GROUP
CRD#: 15685 / SEC#: , 8-33355
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBBINS, LEONARD ALAN | PRESIDENT, CEO, CFO, SECRETARY, DIRECTOR | 815339 |
Disclosures
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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