Kevin W. Leonard
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.
Kevin William Leonard, who also goes by Kevin Wiliam Leonard, Kevin Wiliams Leonard, Kevin Leonard, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1979. Kevin had worked at 5 firms and has passed the Series 6TO, SIE 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 3, 2012 - October 1, 2021
PURSHE KAPLAN STERLING INVESTMENTS
October 16, 2008 - January 23, 2012
ALLSTATE FINANCIAL SERVICES, LLC
January 9, 1997 - October 3, 2008
PURSHE KAPLAN STERLING INVESTMENTS
November 15, 1985 - January 9, 1997
CARILLON INVESTMENTS, INC.
April 16, 1979 - February 25, 1989
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 16, 1979 - February 25, 1989
SIGNATOR INVESTORS, 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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 4/2/1979
Registered Representative ExaminationCurrent Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
