Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo Joseph Walker is an investment advisor representative with Wells Fargo Clearing Services, LLC. Leo has been in the industry since 1992 and has a strong background in financial services. Leo has held previous roles at Wells Fargo Investments, LLC, BANC of America Investment Services, Inc., Morgan Stanley DW Inc., Salomon Smith Barney Inc., Guardian Investor Services Corporation, MetLife Securities Inc., and Metropolitan Life Insurance Company. Leo is licensed in several states and holds the Series 7, 6, 63, and 65 licenses. Leo's focus is providing investment consulting services to institutional clients.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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
10/09/2024 - Present
Wells Fargo Clearing Services, LLC (SAN DIEGO CA)
CA
03/27/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (SAN DIEGO CA)
CA
06/30/2006 - 03/30/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SOLANA BEACH CA)
CA
10/26/2001 - 07/05/2006
MORGAN STANLEY DW INC. (FRESNO CA)
NY
11/18/1998 - 10/22/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
09/30/1993 - 12/11/1998
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
MA
04/14/1992 - 09/23/1992
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
04/14/1992 - 09/23/1992
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MA
12/21/1989 - 10/05/1990
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/21/1989 - 10/05/1990
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 02/02/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/19/1999
Series 7 - General Securities Representative Examination
BC
Issued 12/20/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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