Leigh C. Chaffee
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.
Leigh Carlton Chaffee was a registered financial professional .
Leigh is a previously registered financial professional and started their career in finance in 1978. Leigh had worked at 7 firms and has passed the Series 63, 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
February 24, 2000 - March 18, 2008
LTC INVESTMENT SERVICES, INC.
October 6, 1995 - November 28, 1998
LTC INVESTMENT SERVICES, INC.
June 4, 1993 - October 29, 1993
LTC INVESTMENT SERVICES, INC.
October 20, 1989 - June 7, 1991
LTC INVESTMENT SERVICES, INC.
March 17, 1986 - May 8, 1989
LEXINGTON FUNDS DISTRIBUTOR, INC.
March 1, 1984 - May 22, 1984
B. J. LEONARD AND COMPANY, INC.
January 20, 1984 - February 22, 1984
HACKERT/MODESITT INVESTMENTS, LTD.
September 22, 1982 - December 27, 1983
HERETH, ORR & JONES, INC.
May 10, 1982 - September 29, 1982
WALL STREET WEST, INC.
February 1, 1978 - May 10, 1982
FIRST COLORADO INVESTMENTS & 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
Current Firm
LTC INVESTMENT SERVICES, INC.
CRD#: 23750 / SEC#: , 8-40705
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBERT BERIAULT HOLDINGS, INC. | PARENT CORPORATION | |
| BERIAULT, ROBERT HARVEY | BOARD MEMBER, TREASURER, ASSISTANT SECRETARY | |
| PIERCE, BOBBIE JEAN | GENERAL SECURITIES PRINCIPAL | 1011848 |
| SMITH, KATHLEEN MARIE | VICE PRESIDENT | 2190360 |
| WILLIAMS, BRICE JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, FINANCIAL OPERATIONS PRINCIPAL, GENERAL SECURITIES PRINCIPAL | 2663962 |
Disclosures
| Regulatory Event | 1 |
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.
