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LEONARD MARION SPALDING III
LEONARD MARION SPALDING
CRD#: 3047263
IA
B
GWN SECURITIES INC.CRD#: 128929 PORT CHARLOTTE, FL
0
Disclosures
26
Years of Experience
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State Registrations
B
Arizona 4/29/2019
B
Maryland 9/29/2023
B
California 5/17/2022
B
North Carolina 5/17/2022
B
Colorado 8/13/2019
B
South Carolina 11/21/2024
B
Florida 4/29/2019
B
Tennessee 9/11/2023
IA
Florida 4/30/2019
B
Virginia 4/30/2019
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/04/2017 - 05/02/2019 | Coconut Creek, FL | |
IA | 05/23/2011 - 05/02/2019 | Coconut Creek, FL | |
B | 01/03/2017 - 05/02/2019 | FORT WASHINGTON, PA | |
B | 01/27/2003 - 01/03/2017 | PALM BEACH GARDENS, FL | |
B | 05/08/1998 - 12/13/2002 | PITTSBURGH, PA |
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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.