Bob A. Leopold
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.
Bob Arthur Leopold was a registered financial professional .
Bob is a previously registered financial professional and started their career in finance in 1978. Bob had worked at 4 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 1979 - January 20, 2023
CARTY, HARDING & HEARN, INC.
November 15, 1978 - April 19, 1979
TRANSAMERICAN SECURITIES, INC.
August 29, 1978 - November 30, 1978
UMIC, INC.
June 19, 1978 - September 26, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 6/9/1978
Registered Representative ExaminationCurrent Firm
CARTY, HARDING & HEARN, INC.
CRD#: 7001 / SEC#: , 8-19082
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 19 |
Red Flags
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