Leon A. Szamocki
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.
Leon Adelbert Szamocki, who also goes by Lee Szamocki, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1978. Leon had worked at 7 firms and has passed the Series 63, Series 7 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
January 29, 1998 - November 10, 1999
WMA SECURITIES, INC.
February 25, 1997 - December 31, 1997
LEGACY FINANCIAL SERVICES, INC.
September 9, 1996 - March 19, 1997
IAC SECURITIES, INC.
July 10, 1987 - December 31, 1995
DREHER & ASSOCIATES, INC.
February 14, 1984 - June 26, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
November 23, 1983 - March 2, 1984
GREAT PLAINS SECURITIES CORPORATION
October 23, 1978 - December 17, 1981
VP DISTRIBUTORS LLC
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 1
Date: 10/18/1978
Registered Representative ExaminationCurrent Firm
WMA SECURITIES, INC.
CRD#: 32625 / SEC#: , 8-45728
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
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.
