Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Leonard? Claim Your ProfileLeonard Peter Ligotti is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Leonard has been in the industry since 1996. Leonard Peter Ligotti holds several licenses and certifications including Series 63, Series 65, Series 7, Series 31, Series 4, Series 9, Series 10, Series 24, Series 52TO and Series 53. Leonard is also registered in several states. Leonard Peter Ligotti was previously registered with BANC OF AMERICA INVESTMENT SERVICES, INC., LASALLE FINANCIAL SERVICES, INC., FIFTH THIRD SECURITIES, INC., CHARTER ONE SECURITIES, INC., LOCUST STREET SECURITIES, INC., FN INVESTMENT CENTER and DEAN WITTER REYNOLDS INC..
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
MI
02/06/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DEARBORN MI)
MI
10/24/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (TROY MI)
IL
10/25/2002 - 10/24/2008
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
OH
07/29/2002 - 10/16/2002
FIFTH THIRD SECURITIES, INC. (CINCINNATI OH)
OH
03/15/1999 - 05/29/2002
CHARTER ONE SECURITIES, INC. (CLEVELAND OH)
IA
07/31/1996 - 03/15/1999
LOCUST STREET SECURITIES, INC. (DES MOINES IA)
CA
05/16/1996 - 07/30/1996
FN INVESTMENT CENTER (SACRAMENTO CA)
NY
06/20/1989 - 10/13/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/09/2007
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/2007
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/13/2005
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 05/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Leonard Ligotti is the right advisor for you? Invested Better is here to help.
