Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo Dominic Carton is a financial advisor with over 30 years of experience in the financial services industry. Leo is currently registered with Gradient Securities, LLC and has been with the firm since January 2019. Prior to that, Leo worked with several other firms including The Leaders Group, Inc., Transamerica Financial Advisors, Inc, LPL Financial Corporation, Wealth Enhancement Brokerage Services, LLC, Royal Alliance Associates, Inc., Piper Jaffray & Co., Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, L.L.C. and American Express Financial Advisors Inc. Leo's expertise includes financial planning, pension consulting and selection of other advisors. He holds Series 6, 7, 63, and 65 licenses and the SIE. Leo provides financial advice to a wide range of clients, including high-net-worth individuals, corporations, and individuals.
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.
Helps you choose top advisors aligned with your financial goals.
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.
Solicitor fees
1
2
MN
01/21/2019 - Present
Gradient Securities, LLC (ARDEN HILLS MN)
CO
01/04/2016 - 01/31/2017
THE LEADERS GROUP, INC. (LITTLETON CO)
MN
04/25/2011 - 12/31/2015
TRANSAMERICA FINANCIAL ADVISORS, INC (GOLDEN VALLEY MN)
MN
03/18/2008 - 04/28/2009
LPL FINANCIAL CORPORATION (BURNSVILLE MN)
MN
03/18/2008 - 03/17/2009
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC (PLYMOUTH MN)
MN
10/03/2006 - 03/23/2007
ROYAL ALLIANCE ASSOCIATES, INC. (APPLE VALLEY MN)
MN
12/19/2003 - 08/23/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
CA
12/14/2000 - 12/05/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
07/20/1998 - 08/12/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MN
07/31/1984 - 08/05/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NA
07/31/1984 - 12/24/1986
IDS FINANCIAL SERVICES INC.
IA
Issued 09/20/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/30/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
BC
Issued 07/30/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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