Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leroy? Claim Your ProfileLeroy Davis is a financial advisor with Houlihan Lokey Capital, Inc. Leroy has been in the industry since May 2008 and has a variety of licenses and registrations. Leroy is registered with FINRA and is licensed in North Carolina. Leroy has held previous positions with 7M SECURITIES, LLC and CAPE SECURITIES INC. Leroy has passed the Series 63, Series 14, Series 28, Series 24, Series 99TO, Series 79TO, SIE, and Series 7 exams.
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.
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2
NC
12/21/2023 - Present
Houlihan Lokey Capital, Inc. (Charlotte NC)
NC
01/19/2011 - 04/15/2024
7M SECURITIES, LLC (CHARLOTTE NC)
GA
05/21/2008 - 01/25/2011
CAPE SECURITIES INC. (MCDONOUGH GA)
BC
Issued 11/24/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 11/08/2010
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 09/15/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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