Leonard H. Rothstein
Professional summary
Leonard Howard Rothstein is a registered financial professional currently at WILSON-DAVIS & CO., INC. located in Salt Lake City, Utah.
Leonard is registered as a RR (Registered Representative) and started their career in finance in 1981. Leonard has worked at 15 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leonard Howard Rothstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 21, 2012 - Present
WILSON-DAVIS & CO., INC.
Office #1: 236 South Main Street, Salt Lake City, UT 84101-2104January 19, 2010 - June 21, 2012
BMA SECURITIES, LLC
August 2, 2007 - August 8, 2008
CHANNEL POINT PARTNERS
August 29, 2005 - May 22, 2007
BMA SECURITIES, LLC
November 22, 2002 - August 4, 2005
WESTERN INTERNATIONAL SECURITIES, INC.
July 24, 1998 - December 3, 2002
MDB CAPITAL
February 14, 1996 - November 19, 1998
DRAKE & COMPANY, INC.
April 22, 1995 - February 23, 1996
H.J. MEYERS & CO., INC.
March 9, 1994 - April 26, 1995
INTERFIRST CAPITAL CORPORATION
March 2, 1992 - March 1, 1994
DRAKE & COMPANY, INC.
August 16, 1991 - April 8, 1992
CHESTNUT HILL SECURITIES,INC.
September 6, 1988 - August 17, 1989
GLIKSMAN SECURITIES CORP.
April 11, 1986 - October 21, 1986
FIRST STATEWIDE SECURITIES, INC.
September 9, 1983 - April 11, 1986
OAKWOOD SECURITIES, INC.
December 3, 1982 - September 12, 1983
RAUSCHER PIERCE REFSNES, INC.
February 11, 1982 - December 3, 1982
JEFFERIES LLC
December 27, 1981 - January 5, 1982
PAULSON INVESTMENT COMPANY 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
(6/21/2012)
(6/21/2012)
(6/21/2012)
(1/20/2022)
(12/9/2024)
(6/21/2012)
(6/25/2013)
(6/5/2013)
(1/30/2018)
(6/21/2012)
(3/17/2021)
(6/21/2012)
(8/4/2023)
(7/13/2012)
(3/25/2024)
(7/6/2012)
(12/17/2024)
(6/21/2012)
(6/21/2012)
(7/18/2019)
(10/29/2012)
(8/5/2013)
(1/16/2021)
(6/21/2012)
(1/18/2023)
(4/21/2021)
(6/21/2012)
(6/21/2012)
(2/5/2013)
(7/26/2012)
(2/19/2013)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 1/31/2000
Limited Representative-Equity Trader ExamFINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
WILSON-DAVIS & CO., INC.
CRD#: 3777 / SEC#: , 8-14299
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 57 |
| Arbitration | 1 |
Red Flags
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Company Information
WILSON-DAVIS & CO., INC.
CRD#: 3777Salt Lake City, UT 84101-2104TRUST BUT VERIFY
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