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Leo Federico Carpio

Joseph Gunnar & Co. LLC

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About Leo Federico Carpio

Leo Federico Carpio is a financial professional with over 20 years of experience in the industry. Currently, Leo is a Registered Representative with Joseph Gunnar & Co. LLC. Previously, Leo has held positions with Sidot & Company, LLC, Cain Brothers & Company, LLC, Caris & Company, Inc., Prudential Equity Group, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Leo holds Series 7, 63, 66, 79, 86, and 87 licenses. Leo specializes in Portfolio Management for Individuals and Selection of Other Advisors.

Firm Information

Leo Carpio is currently registered with Joseph Gunnar & Co. LLC. Joseph Gunnar & Co. LLC is a Limited Liability Company registered with the SEC and in 53 states. The firm, founded in 1997, is headquartered in Uniondale, New York and provides portfolio management services for individuals and selects other advisers. They are registered to offer wrap fee programs and have reported 5 regulatory events and 12 arbitration disclosures.
Joseph Gunnar & Co. LLC

1000 RXR PLAZA

UNIONDALE, NY 11556

$31.02M

Assets Under Management

Not reported

Total Clients

36

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share in fees paid to tpmms

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Leo Carpio’s Registration & Firm History

NY

11/26/2019 - Present

Joseph Gunnar & Co. LLC (UNIONDALE NY)

NY

05/05/2016 - 05/18/2016

SIDOTI & COMPANY, LLC (NEW YORK NY)

NY

09/08/2014 - 02/16/2016

CAIN BROTHERS & COMPANY, LLC (NEW YORK NY)

NY

08/20/2007 - 12/14/2012

CARIS & COMPANY, INC. (NEW YORK NY)

NY

09/11/2000 - 06/19/2007

PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)

NY

09/26/1997 - 01/12/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/15/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/24/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/26/2019

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/26/2019

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 05/18/2016

SIE - Securities Industry Essentials Examination

BC

Issued 10/08/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 09/13/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Leo Federico Carpio.
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