ML
Marshall T. Leeds
CETERA WEALTH SERVICES
Boca Raton, FL 33432
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CRD#: 1014569
ML
Professional summary
Marshall Todd Leeds is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Boca Raton, Florida.
Marshall is registered as a RR (Registered Representative) and started their career in finance in 1982. Marshall has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Marshall Todd Leeds's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 24, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 225 Ne Mizner Blvd Ste 550, Boca Raton, FL 33432BD
CRD#: 13572
Boca Raton, FL
Past
March 26, 2002 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
Past
June 18, 1996 - January 2, 2001
JWGENESIS FINANCIAL GROUP, INC
BD
CRD#: 38166
BOCA RATON, FL
Past
October 22, 1993 - January 2, 2001
JWGENESIS SECURITIES, INC.
BD
CRD#: 33832
BOCA RATON, FL
Past
June 2, 1993 - July 7, 2001
DMG SECURITIES, INC.
BD
CRD#: 15480
GREAT FALLS, VA
Past
December 4, 1990 - June 30, 1999
JW GENESIS CLEARING CORP.
BD
CRD#: 6631
BOCA RATON, FL
Past
January 30, 1986 - March 13, 2002
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
October 1, 1985 - April 12, 1990
CORPORATE MANAGEMENT GROUP SECURITIES, INC.
BD
CRD#: 16138
Past
October 20, 1984 - October 7, 1985
MONTAIGNE INVESTMENT CORPORATION
BD
CRD#: 14759
Past
January 19, 1982 - March 10, 1984
FIRST AFFILIATED SECURITIES, INC.
BD
CRD#: 6871
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/25/2019)
RR
Alaska(9/25/2019)
RR
Arizona(9/25/2019)
RR
Arkansas(9/25/2019)
RR
California(8/12/2019)
RR
Colorado(9/25/2019)
RR
Connecticut(9/25/2019)
RR
Delaware(9/25/2019)
RR
District of Columbia(9/25/2019)
RR
Florida(8/12/2019)
RR
Georgia(8/12/2019)
RR
Hawaii(9/25/2019)
RR
Idaho(9/25/2019)
RR
Illinois(9/25/2019)
RR
Indiana(9/25/2019)
RR
Iowa(9/25/2019)
RR
Kansas(9/25/2019)
RR
Kentucky(9/25/2019)
RR
Louisiana(9/25/2019)
RR
Maine(9/25/2019)
RR
Maryland(9/25/2019)
RR
Massachusetts(9/25/2019)
RR
Michigan(9/25/2019)
RR
Minnesota(9/25/2019)
RR
Mississippi(9/25/2019)
RR
Missouri(9/25/2019)
RR
Montana(9/25/2019)
RR
Nebraska(9/25/2019)
RR
Nevada(9/25/2019)
RR
New Hampshire(9/25/2019)
RR
New Jersey(8/12/2019)
RR
New Mexico(9/25/2019)
RR
New York(8/12/2019)
RR
North Carolina(9/25/2019)
RR
North Dakota(9/25/2019)
RR
Ohio(9/25/2019)
RR
Oklahoma(9/25/2019)
RR
Oregon(9/25/2019)
RR
Pennsylvania(9/25/2019)
RR
Rhode Island(9/25/2019)
RR
South Carolina(9/25/2019)
RR
South Dakota(9/25/2019)
RR
Tennessee(9/25/2019)
RR
Texas(9/25/2019)
RR
Utah(9/25/2019)
RR
Vermont(9/25/2019)
RR
Virginia(9/25/2019)
RR
Washington(9/25/2019)
RR
West Virginia(9/25/2019)
RR
Wisconsin(9/25/2019)
RR
Wyoming(9/25/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
Company Information
CETERA WEALTH SERVICES, LLC
CRD#: 13572Boca Raton, FL 33432TRUST BUT VERIFY
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