Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo Kay is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc., with over 15 years of experience in the financial services industry. Leo's expertise includes portfolio management for individuals and businesses. He is a registered representative and investment advisor representative in several states. Leo holds Series 7, 9, 10, 66 and SIE licenses, and is a licensed financial advisor in the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Leo has previously worked at Wells Fargo Advisors, LLC and Wells Fargo Investments, LLC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CITRUS HEIGHTS CA)
CA
01/03/2011 - 01/06/2014
WELLS FARGO ADVISORS, LLC (SAN MATEO CA)
CA
03/13/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (BELMONT CA)
BOTH
Issued 03/24/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/05/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/11/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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