Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo E Rosenholz is a financial professional with over 15 years of experience in the industry. Leo is currently registered with Wells Fargo Securities, LLC and has previously held positions at Morgan Stanley & Co. LLC, E*TRADE SECURITIES LLC, E*TRADE CLEARING LLC, INTERACTIVE BROKERS LLC, and TIMBER HILL LLC. Leo holds several licenses including Series 66, Series 99TO, Series 22TO, Series 82TO, Series 52TO, Series 6TO, SIE, and Series 7. Leo is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
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.
1
2
NY
11/22/2022 - Present
Wells Fargo Securities, LLC (New York NY)
NY
03/31/2021 - 11/11/2022
MORGAN STANLEY & CO. LLC (New York NY)
NY
09/30/2016 - 11/11/2022
E*TRADE SECURITIES LLC (New York NY)
NJ
02/12/2014 - 09/30/2016
E*TRADE CLEARING LLC (Jersey City NJ)
CT
10/16/2012 - 12/16/2013
INTERACTIVE BROKERS LLC (GREENWICH CT)
CT
06/20/2008 - 07/25/2013
TIMBER HILL LLC (GREENWICH CT)
BOTH
Issued 06/10/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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