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LB

Leo P. Blackford

SMG SECURITIES
NEW YORK, NY 10065
Some features on this profile are disabled
CRD#: 830361
LB

Professional summary

Leo Price Blackford is a registered financial professional currently at SMG SECURITIES, INC. located in New York, New York.

Leo is registered as a RR (Registered Representative) and started their career in finance in 1976. Leo has worked at 5 firms and has passed the SIE, Series 7 and Series 24 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) - BD

Click below to view Leo Price Blackford's CRS (Customer Relationship Summary).

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

Current

November 20, 2013 - Present

SMG SECURITIES, INC.

Office #1: 333 East 66th Street Suite 2-o, New York, NY 10065
BD
CRD#: 17406
NEW YORK, NY
Past

May 24, 2004 - November 18, 2013

DC ADVISORY

BD
CRD#: 129919
NEW YORK, NY
Past

November 3, 2000 - April 13, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 28, 1989 - September 23, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

December 1, 1976 - February 28, 1989

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/21/2013)
RR
Louisiana
(11/20/2013)
RR
Maryland
(11/20/2013)
RR
New Jersey
(11/20/2013)
RR
Ohio
(11/20/2013)
RR
Vermont
(11/20/2013)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/20/1976
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/23/1981
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SS
SMG SECURITIES, INC.
SCOTT-MACON SECURITIES, INC. | SMG SECURITIES, INC.

CRD#: 17406 / SEC#: , 8-35184

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
333 East 66th Street Suite 2-o, New York, NY 10065
Mailing Address
333 East 66th Street Suite 2-o, New York, NY 10065
Phone number
(212) 288-1200
Established
Delaware since 11/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SMG ASSOCIATES, LLCOWNER
TEPPER, JEFFREY MARKPRESIDENT & CEO AND CHIEF COMPLIANCE OFFICER1215438

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

SMG SECURITIES, INC.

CRD#: 17406New York, NY 10065

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