Leonard R. Nassi
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.
Leonard Robert Nassi, CFP®, who also goes by Len Nassi, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1987. Leonard had worked at 12 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2003
Experience
April 11, 2016 - April 20, 2016
KOVACK SECURITIES INC.
November 22, 2013 - June 18, 2014
NATIONAL SECURITIES CORPORATION
August 30, 2007 - May 6, 2014
ASSET & FINANCIAL PLANNING, LTD
August 29, 2007 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
August 2, 2007 - August 30, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 2007 - August 30, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 29, 2001 - August 28, 2007
ASSET & FINANCIAL PLANNING, LTD
January 25, 1999 - August 28, 2007
PRIME CAPITAL SERVICES, INC.
January 19, 1995 - January 27, 1999
VOYA FINANCIAL ADVISORS, INC.
March 3, 1992 - December 31, 1994
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 23, 1990 - January 2, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 23, 1990 - January 2, 1992
PRUCO SECURITIES, LLC.
April 20, 1989 - January 1, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 23, 1987 - April 27, 1989
PROFILE INVESTMENTS CORPORATION
February 24, 1987 - October 30, 1987
THE STUART-JAMES COMPANY, 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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
