Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leonard? Claim Your ProfileLeonard Howard Rothstein has been active in the financial services industry since September 5, 1987. Leonard is a registered representative of Wilson-Davis & CO., Inc. and holds the Series 3, 4, 7, 24, 27, 55, 57TO, 63, 7TO, 99TO and SIE licenses. Leonard is registered in 31 states and has previously worked with several other firms including BMA Securities, Channel Point Partners, Western International Securities, Inc., MDB Capital Group LLC, Drake & Company, Inc., H.J. Meyers & Co., Inc., Baraban Securities, Inc., Drake Capital Securities, Inc., Chestnut Hill Securities, INC., Gliksman Securities Corp., First Statewide Securities, Inc., Oakwood Securities, Inc., Rauscher Pierce Refsnes, Inc., Jefferies & Company, Inc. and Paulson Investment Company, Inc.
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
UT
06/21/2012 - Present
Wilson-Davis & CO., Inc. (SALT LAKE CITY UT)
CA
01/19/2010 - 06/21/2012
BMA SECURITIES (CANOGA PARK CA)
CA
08/02/2007 - 08/08/2008
CHANNEL POINT PARTNERS (NEWPORT BEACH CA)
CA
08/29/2005 - 05/22/2007
BMA SECURITIES (ROLLING HILLS ESTATES CA)
CA
11/22/2002 - 08/04/2005
WESTERN INTERNATIONAL SECURITIES, INC. (PASADENA CA)
TX
07/24/1998 - 12/03/2002
MDB CAPITAL GROUP LLC (ADDISON TX)
NY
02/14/1996 - 11/19/1998
DRAKE & COMPANY, INC. (NEW YORK NY)
NY
04/22/1995 - 02/23/1996
H.J. MEYERS & CO., INC. (ROCHESTER NY)
CA
03/09/1994 - 04/26/1995
BARABAN SECURITIES, INC. (LOS ANGELES CA)
NY
03/02/1992 - 03/01/1994
DRAKE CAPITAL SECURITIES, INC. (NEW YORK NY)
CA
08/16/1991 - 04/08/1992
CHESTNUT HILL SECURITIES,INC. (SAN FRANCISCO CA)
NA
09/06/1988 - 08/17/1989
GLIKSMAN SECURITIES CORP.
NA
04/11/1986 - 10/21/1986
FIRST STATEWIDE SECURITIES, INC.
NA
09/09/1983 - 04/11/1986
OAKWOOD SECURITIES, INC.
NA
12/03/1982 - 09/12/1983
RAUSCHER PIERCE REFSNES, INC.
NA
02/11/1982 - 12/03/1982
JEFFERIES & COMPANY, INC.
NA
12/27/1981 - 01/05/1982
PAULSON INVESTMENT COMPANY, INC.
BC
Issued 09/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/1984
Series 27 - Financial and Operations Principal Examination
BC
Issued 04/18/1983
Series 4 - Registered Options Principal Examination
BC
Issued 03/25/1981
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2010
Series 3 - National Commodity Futures Examination
BC
Issued 01/31/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/18/1979
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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