Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo Michael Wachtel iv is a financial professional with over 24 years of experience in the industry. Leo Michael Wachtel iv is currently registered with Nomura Securities International, Inc., and is based out of the NEW YORK, NY branch office. Prior to joining Nomura Securities International, Inc., Leo Michael Wachtel iv was employed with MORGAN STANLEY & CO. LLC. He has also held positions at DEUTSCHE BANK SECURITIES INC., CITIGROUP GLOBAL MARKETS INC. and CITICORP SECURITIES, INC.. Leo Michael Wachtel iv holds the Series 63, Series 24, SIE and Series 7 licenses. He is also registered in the state of New York. Leo Michael Wachtel iv specializes in research-related services and offers various services such as publication of periodicals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Research-related services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Negotiated fees for research-related services
1
2
NY
11/10/2022 - Present
Nomura Securities International, Inc. (NEW YORK NY)
NY
02/23/2022 - 10/13/2022
MORGAN STANLEY & CO. LLC (NEW YORK NY)
NY
06/02/2008 - 08/05/2020
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
12/18/1998 - 04/24/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
08/14/1998 - 12/18/1998
CITICORP SECURITIES, INC. (NEW YORK NY)
BC
Issued 08/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/26/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1998
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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