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Leonard Simmons

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CRD#: 825184
LS

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 Simmons was a registered financial professional .

Leonard is a previously registered financial professional and started their career in finance in 1976. Leonard had worked at 11 firms and has passed the Series 63, PC and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

August 22, 2000 - August 9, 2002

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MELVILLE, NY
Past

March 24, 2000 - September 6, 2000

PRIME CAPITAL SERVICES, INC.

BD
CRD#: 18334
POUGHKEEPSIE, NY
Past

September 10, 1997 - March 1, 2000

INVEST FINANCIAL CORPORATION

BD
CRD#: 12984
APPLETON, WI
Past

February 6, 1996 - August 1, 1996

ESSEX NATIONAL SECURITIES, LLC

BD
CRD#: 25454
NAPA, CA
Past

August 22, 1994 - February 10, 1996

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

September 17, 1993 - July 7, 1994

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

February 6, 1991 - September 28, 1993

NORTHEAST BROKERAGE SERVICES CORPORATION

BD
CRD#: 26601
Past

March 15, 1988 - October 3, 1990

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 12, 1977 - April 4, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

November 17, 1976 - October 3, 1977

SHEARSON HAYDEN STONE INC.

BD
CRD#: 7295
Past

July 22, 1976 - November 17, 1976

SHEARSON HAYDEN STONE INC.

BD
CRD#: 6774

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/15/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 5/27/1978
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 7/17/1976
General Securities Representative Examination

Current Firm

CO
CAPITAL ONE INVESTMENT SERVICES LLC
CAPITAL ONE INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORPORATION | NFB INVESTMENT SERVICES CORP. | COMPASS INVESTMENT SERVICES CORP. | CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658 / SEC#: , 8-41948

BD
Terminated by SEC on 03/31/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 07/31/2008
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL ONE, N.A.SOLE SHAREHOLDER
BUTLER, YVETTEPRESIDENT & CEO2471482
CONSTANTINO, KRISTEN DANIELLECHIEF COMPLIANCE OFFICER3001473
DEBLANC, RONALD JOSEPHCHIEF FINANCIAL OFFICER/FINANCIAL OPERATIONS PRINCIPAL1672968
DELMONACO, JEAN MARIEMSRB PRINCIPAL1452891

Disclosures

Regulatory Event2
Arbitration2

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.

Company Information

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

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