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DAVID WOODS LEONARD JR
DAVID W LEONARD
CRD#: 1705391
IA
Investment Adviser
B
Broker
NORTHERN TRUST SECURITIES, INCCRD#: 7927 50 South LaSalle
Chicago, IL 60603
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2000 - 2003 (2 years)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2015 - Present (10 years)BNORTHERN TRUST SECURITIES, INC. (CRD# 7927)2003 - Present (22 years)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2011 - 2011 (<1 year)BVISION INVESTMENT SERVICES, INC. (CRD# 46609)2003 - 2010 (7 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1997 - 2000 (3 years)BETG, L.L.C. (CRD# 37453)1995 - 1997 (1 year)IANORTHERN TRUST SECURITIES, INC (CRD# 7927)2003 - 2009 (6 years)
Disclosure(s)
View By:
4/21/2008
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Alabama 1/3/2011

B
Missouri 3/9/2004

B
Alaska 1/3/2011

B
Montana 10/9/2007

B
Arizona 2/20/2003

B
Nebraska 1/3/2011

B
Arkansas 1/3/2011

B
Nevada 2/20/2003

B
California 2/20/2003

B
New Hampshire 1/3/2011

B
Colorado 2/20/2003

B
New Jersey 2/20/2003

B
Connecticut 2/20/2003

B
New Mexico 3/15/2010

B
Delaware 1/3/2011

B
New York 2/20/2003

B
District of Columbia 2/20/2003

B
North Carolina 2/20/2003

B
Florida 5/13/2003

B
North Dakota 1/3/2011

B
Georgia 1/3/2011

B
Ohio 7/23/2004

B
Hawaii 11/1/2007

B
Oklahoma 11/1/2005

B
Idaho 1/3/2011

B
Oregon 2/20/2003

B
Illinois 2/20/2003

B
Pennsylvania 2/20/2003

IA
Illinois 2/9/2015

B
Rhode Island 2/20/2003

B
Indiana 9/23/2003

B
South Carolina 4/16/2008

B
Iowa 11/5/2007

B
South Dakota 1/3/2011

B
Kansas 2/20/2003

B
Tennessee 6/12/2019

B
Kentucky 1/3/2011

B
Texas 2/20/2003

B
Louisiana 1/3/2011

B
Utah 12/7/2010

B
Maine 1/3/2011

B
Vermont 12/7/2010

B
Maryland 2/20/2003

B
Virginia 2/20/2003

B
Massachusetts 2/20/2003

B
Washington 12/3/2010

B
Michigan 2/20/2003

B
West Virginia 12/7/2010

B
Minnesota 12/3/2010

B
Wisconsin 2/20/2003

B
Mississippi 1/3/2011

B
Wyoming 1/3/2011

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NORTHERN TRUST SECURITIES, INC (CRD#:7927)
50 South LaSalle, Chicago, IL 60603
Registered with this firm since 2/9/2015

B
NORTHERN TRUST SECURITIES, INC. (CRD#:7927)
50 South LaSalle, Chicago, IL 60603
Registered with this firm since 2/20/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
B
01/06/2011 - 09/30/2011 VISION INVESTMENT SERVICES, INC. (CRD#:46609) CHICAGO, IL
B
05/09/2003 - 12/31/2010 VISION INVESTMENT SERVICES, INC. (CRD#:46609) CHICAGO, IL
IA
02/20/2003 - 12/31/2009 NORTHERN TRUST SECURITIES, INC (CRD#:7927) CHICAGO, IL
IA
10/10/2000 - 02/14/2003 MORGAN STANLEY (CRD#:7556) CHICAGO, IL
B
06/16/2000 - 02/14/2003 MORGAN STANLEY DW INC. (CRD#:7556) PURCHASE, NY
B
03/19/1997 - 06/23/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
12/01/1995 - 02/20/1997 ETG, L.L.C. (CRD#:37453) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
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.