Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leia? Claim Your ProfileLeia Elizabeth Farmer is a financial advisor who has been in the industry for over 20 years. Leia is currently registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc.. She is a Series 66 and Series 63 licensed professional and holds the Series 4, Series 24, Series 99TO, SIE, and Series 7 licenses. Leia has worked for several firms throughout her career, including Cetera Advisor Networks LLC, Cetera Advisors LLC, Cetera Financial Specialists LLC, Investors Capital Corp., Summit Brokerage Services, Inc., Girard Securities, Inc., VSR Financial Services, Inc., and Alpine Securities Corporation. Leia's previous experience has included work at E*TRADE SECURITIES LLC, E*TRADE CLEARING LLC, and Brecek & Young Advisors, Inc. Leia has a specialization in financial planning, pension consulting, and portfolio management for individuals and businesses.
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.
Please see note in schedule d - miscellaneous
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
09/18/2018 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
FL
07/31/2018 - 08/09/2018
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
IA
11/03/2016 - 04/03/2018
FIRST ALLIED SECURITIES, INC. (W Des Moines IA)
IA
10/28/2015 - 04/03/2018
CETERA ADVISOR NETWORKS LLC (W DES MOINES IA)
IA
10/28/2015 - 04/03/2018
CETERA ADVISORS LLC (W DES MOINES IA)
IA
10/28/2015 - 04/03/2018
CETERA FINANCIAL SPECIALISTS LLC (W DES MOINES IA)
IA
10/28/2015 - 04/03/2018
SUMMIT BROKERAGE SERVICES, INC. (W Des Moines IA)
IA
10/28/2015 - 11/01/2017
GIRARD SECURITIES, INC. (W DES MOINES IA)
IA
10/28/2015 - 11/09/2016
INVESTORS CAPITAL CORP. (WEST DES MOINES IA)
IA
10/28/2015 - 11/09/2016
VSR FINANCIAL SERVICES, INC. (West Des Moines IA)
UT
05/15/2012 - 10/02/2015
ALPINE SECURITIES CORPORATION (SALT LAKE CITY UT)
CA
01/23/2009 - 05/04/2012
SECURITIES AMERICA, INC. (FOLSOM CA)
OH
02/28/2005 - 01/23/2009
BRECEK & YOUNG ADVISORS, INC. (CINCINNATI OH)
NJ
10/15/2002 - 03/01/2005
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
NJ
09/03/2002 - 12/03/2003
E*TRADE CLEARING LLC (JERSEY CITY NJ)
NJ
08/23/1999 - 09/03/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
BOTH
Issued 09/17/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/23/2000
Series 4 - Registered Options Principal Examination
BC
Issued 07/12/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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