Marc S. Adels
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.
Marc Steven Adels was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1976. Marc had worked at 6 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2001 - April 9, 2002
LEONARD & COMPANY
June 16, 1998 - June 5, 2001
RAYMOND JAMES & ASSOCIATES, INC.
May 11, 1998 - September 25, 1999
RONEY & CO.
September 9, 1983 - May 11, 1998
RONEY & CO. L.L.C.
September 26, 1978 - September 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
LEONARD & COMPANY
CRD#: 36527 / SEC#: 801-60035, 8-47298
Contact information
Disclosures
| Regulatory Event | 13 |
| Arbitration | 2 |
Red Flags
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