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ROY MICHEL LE BLANC JR
ROY MICHAEL LEBLANC JR, ROY MICHEL LEBLANC JR, ROY MICHEL JR LEBLANC, ROY MICHEL LEBLANC JR, ROY MICHEL LEBLANC JR. JR
CRD#: 1436359
IA
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WELLS FARGO ADVISORSCRD#: 19616 41 W I-65 SERVICE ROAD N STE 220
MOBILE, AL 36608
MOBILE, AL 36608
View By:
9/28/2017
Customer Dispute
Settled
State Registrations
B
Alabama 10/11/2013
B
Mississippi 10/11/2013
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Alabama 10/11/2013
B
New York 10/11/2013
B
Arizona 8/1/2016
B
Rhode Island 8/14/2018
B
Florida 10/11/2013
B
South Carolina 10/11/2013
B
Georgia 10/11/2013
B
Texas 10/11/2013
B
Illinois 3/7/2023
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Texas 10/11/2013
B
Louisiana 10/11/2013
B
Virginia 11/19/2013
B
Minnesota 2/13/2024
SRO Registrations
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 10/11/2013
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Registered with this firm since 10/11/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/01/2009 - 10/23/2013 | MOBILE, AL | |
B | 06/01/2009 - 10/23/2013 | MOBILE, AL | |
IA | 04/02/2007 - 06/01/2009 | MOBILE, AL | |
B | 04/02/2007 - 06/01/2009 | MOBILE, AL | |
IA | 03/03/2006 - 04/02/2007 | MOBILE, AL | |
B | 03/03/2006 - 04/02/2007 | MOBILE, AL | |
B | 05/26/2004 - 03/07/2006 | ORANGE BEACH, AL | |
IA | 08/27/2001 - 06/03/2004 | GULF SHORES, AL | |
B | 03/13/2001 - 06/03/2004 | ST. LOUIS, MO | |
B | 08/16/1991 - 12/31/1993 | ||
B | 03/23/1987 - 12/31/1989 | ||
B | 05/05/1986 - 03/25/1987 | ||
B | 02/19/1986 - 03/27/1986 |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.