Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leo? Claim Your ProfileLeo Raymond Nicotera is an Investment Advisor Representative at LPL Financial LLC in BALLSTON LAKE, NY. Leo has been working in the financial industry since October 1992 and has worked for several companies in the past including INVESTMENT MANAGEMENT & RESEARCH, INC, KEY INVESTMENTS INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Leo holds the Series 7, 24, 31, and 63 licenses, as well as the SIE and Series 65 licenses. Leo provides financial planning services, educational seminars, and portfolio management for businesses 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.
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.
Consulting and other non-discretionary advisory services
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.
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2
NY
12/01/2021 - Present
LPL Financial LLC (BALLSTON LAKE NY)
FL
04/04/1997 - 09/28/1998
INVESTMENT MANAGEMENT & RESEARCH, INC (ST. PETERSBURG FL)
OH
02/16/1993 - 04/07/1997
KEY INVESTMENTS INC. (CLEVELAND OH)
MN
10/27/1992 - 02/18/1993
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/27/1992 - 02/18/1993
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 06/01/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/07/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/26/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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