Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leo is an investment advisor representative with over 30 years of experience in the financial services industry. James has a strong track record of helping clients achieve their financial goals through a variety of investment strategies. James is registered to provide investment advisory services in Delaware, Florida, New Jersey, and New York. He is also registered as a broker-dealer in Florida and New Jersey. James is a member of the Financial Industry Regulatory Authority (FINRA) and holds the Series 6, 7, 63, and 66 securities licenses. Currently, James is associated with Osaic Advisory Services, LLC. James has a history of working with high net worth individuals, corporations or other businesses, pension and profit sharing plans, and individuals other than high net worth individuals. James is committed to providing his clients with personalized financial advice and exceptional customer service.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
GA
10/24/2024 - Present
Osaic Advisory Services, LLC (ATLANTA GA)
NY
11/08/2022 - 12/08/2022
LPL FINANCIAL LLC (STATEN ISLAND NY)
NY
05/04/2015 - 11/08/2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (Staten Island NY)
NY
09/27/2012 - 05/06/2015
LPL FINANCIAL LLC (STATEN ISLAND NY)
NY
05/27/2008 - 08/22/2012
LPL FINANCIAL LLC (STATEN ISLAND NY)
NY
04/15/2008 - 05/27/2008
IFMG SECURITIES, INC. (STATEN ISLAND NY)
NY
09/12/2006 - 01/17/2007
IFMG SECURITIES, INC. (STATEN ISLAND NY)
NJ
08/06/2002 - 09/12/2006
ESSEX NATIONAL SECURITIES, INC. (JERSEY CITY NJ)
IL
08/17/2001 - 05/15/2002
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
PA
08/09/2000 - 05/29/2001
PNC BROKERAGE CORP (PITTSBURGH PA)
PA
10/21/1998 - 08/15/2000
SUMMIT FINANCIAL SERVICES GROUP, INC. (BETHLEHEM PA)
TX
06/05/1998 - 10/21/1998
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
WI
07/16/1996 - 05/18/1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, INC. (MILWAUKEE WI)
WI
07/16/1996 - 05/18/1998
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
NY
04/23/1991 - 06/20/1996
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
10/27/1989 - 04/03/1991
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
10/27/1989 - 04/03/1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
01/09/1989 - 11/01/1989
VANTAGE FINANCIAL SERVICES, INC.
BOTH
Issued 04/09/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/29/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2000
Series 7 - General Securities Representative Examination
BC
Issued 01/06/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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