Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leon? Claim Your ProfileLeon Rosen has been in the financial industry since December 20, 2004. Leon is currently registered with TD Securities (USA) LLC, and has previously worked for TD Professional Execution, Inc. and TD Securities (USA) LLC. Leon has a broad range of securities licenses and registrations, including Series 3, 4, 7, 24, 55, 57TO, and 63. Leon is registered in 52 states and the District of Columbia.
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.
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.
1
2
NY
04/19/2007 - Present
TD Securities (usa) LLC (NEW YORK NY)
IL
10/18/2005 - 07/05/2006
TD PROFESSIONAL EXECUTION, INC. (CHICAGO IL)
NY
03/08/2004 - 10/24/2005
TD SECURITIES (USA) LLC (NEW YORK NY)
BC
Issued 01/10/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/24/2004
Series 24 - General Securities Principal Examination
BC
Issued 04/29/2004
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2017
Series 3 - National Commodity Futures Examination
BC
Issued 04/12/2004
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/05/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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