Individual Firm
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WILLIAM FIELDS LEAKE
FIELDS LEAKE, WILLIAM F LEAKE
CRD#: 1513304
IA
B
SEQUENT PLANNING, LLCCRD#: 160381 THREE SUGAR CREEK CENTER
SUITE 100
SUGAR LAND, TX 77478
SUITE 100
SUGAR LAND, TX 77478
0
Disclosures
37
Years of Experience
View By:
State Registrations
IA
Texas 3/5/2018
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Registered with this firm since 3/5/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/13/2014 - 03/28/2018 | SUGAR LAND, TX | |
B | 06/19/2013 - 03/28/2018 | SUGAR LAND, TX | |
IA | 02/03/2004 - 08/03/2012 | HOUSTON, TX | |
B | 12/19/2003 - 08/03/2012 | HOUSTON, TX | |
IA | 04/03/2000 - 12/18/2003 | HOUSTON, TX | |
B | 07/07/1999 - 12/18/2003 | WORCESTER, MA | |
B | 05/10/1995 - 06/21/1999 | NEWARK, DE | |
B | 04/21/1995 - 06/15/1999 | SCOTTSDALE, AZ | |
B | 03/12/1990 - 04/28/1995 | ||
B | 08/21/1986 - 04/28/1995 | RADNOR, PA | |
B | 10/14/1988 - 01/01/1990 | SPRINGFIELD, MA |
HOUSTON, TX
04/03/2000 - 12/18/2003
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B
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.
IA
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.