Leo P. Wetter
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.
Leo Peter Wetter was a registered financial professional .
Leo is a previously registered financial professional and started their career in finance in 1988. Leo had worked at 6 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
March 4, 2013 - December 13, 2013
MERRION SECURITIES, LLC
October 29, 2007 - September 19, 2012
COMPASS SECURITIES CORPORATION
October 25, 2000 - May 4, 2006
HSBC SECURITIES (USA) INC.
May 1, 2000 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 16, 1994 - May 10, 2000
UBS FINANCIAL SERVICES INC.
December 21, 1988 - September 13, 1994
YAMAICHI INTERNATIONAL (AMERICA) 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
Series 1
Date: 4/2/1979
Registered Representative ExaminationCurrent Firm
MERRION SECURITIES, LLC
CRD#: 30145 / SEC#: , 8-44770
Contact information
Documents
Disclosures
| Regulatory Event | 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.
