Leroy K. Messenger
Professional summary
Leroy Kenneth Messenger was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leroy is a previously registered financial professional and started their career in finance in 1975. Prior to being barred, Leroy had worked at 2 firms, which includes GENEVA SECURITIESINC., WILLIAM G CEAS & COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 1985 - October 21, 1999
GENEVA SECURITIES,INC.
November 25, 1975 - February 21, 1984
WILLIAM G CEAS & COMPANY
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
F04
Date: 11/19/1975
Financial Principal ExaminationSeries 00
Date: 11/19/1975
General Securities Principal ExaminationCurrent Firm
GENEVA SECURITIES,INC.
CRD#: 16178 / SEC#: , 8-33477
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEFCO FINANCIAL GROUP, INC. | OWNER | |
| AUGUSTYN, BRIAN GERARD | VICE PRESIDENT, SALES - WEST DIVISION | 1438721 |
| BARR, ZENDA SYNSTEBY | VICE PRESIDENT, MUNICIPAL TRADING | 729157 |
| BRASER, DAVID VALEY | VICE PRESIDENT, MUNICIPAL TRADING | 817373 |
| EISENMENGER, RICHARD MICHAEL | CEO, DIRECTOR | 76637 |
| MAVES, CARL WILLIAM | VICE PRESIDENT, RETAIL TRADING | 323566 |
| MESSENGER, LEROY KENNETH | COO, CFO, DIRECTOR, SECRETARY/TREASURER | 815653 |
| ZUREK, JAMES KEITH | SROP/CROP | 824892 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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