Leon R. Rousso
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Leon Ralph Rousso was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1981. Leon had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2019 - May 10, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 4, 2019 - May 10, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 4, 2003 - January 17, 2019
CENTAURUS FINANCIAL, INC.
August 4, 2003 - January 17, 2019
CENTAURUS FINANCIAL, INC.
July 8, 1997 - August 6, 2003
EQUITABLE ADVISORS, LLC
November 21, 1981 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 21, 1981 - August 6, 2003
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
