AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
JL

John Clifford Leonardi

CRD# 1044996·Registered 1982 - 2022
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Clifford Leonardi, who also goes by John C. Leonardi, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1982 - 2022. John had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

John C. Leonardi

Blog Corner

Similar Advisors

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

44 years in the financial services industry

Current & Past Employments

CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Erie, PA
November 25, 2005 - November 30, 2022
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
Erie, PA
October 24, 2005 - November 30, 2022
BLUE VASE SECURITIES, LLC·CRD# 46765
RIA
Fairview, PA
August 7, 2002 - December 31, 2005
BLUE VASE SECURITIES, LLC·CRD# 46765
BD
Washington, PA
July 29, 1999 - October 24, 2005
HACKETT ASSOCIATES, INC.·CRD# 2106
BD
Wyomissing, PA
May 4, 1988 - August 18, 1999
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS·CRD# 7303
BD
September 16, 1985 - January 28, 1988
FORESTERS FINANCIAL SERVICES, INC.·CRD# 305
BD
June 7, 1982 - September 10, 1985

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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)

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)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CETERA ADVISOR NETWORKS LLC - ADV PART 2A AND APPENDIX 1 (6/1/2023)

Direct owners and executive officers

NamePositionCRD#
CETERA FINANCIAL GROUP, INC.SOLE MEMBER—
ARNOLD, SUMMER SELTZERVICE PRESIDENT2954103
BUCHHEISTER, JEFFREY ROBERTCHIEF FINANCIAL OFFICER4709900
BUDEVICH, SERGEVICE PRESIDENT AND TAX OFFICER7996345
BURKOTT, DANIEL PAULBROKER DEALER CO-CHIEF COMPLIANCE OFFICER4710068
COAXUM, KOFI SULEVICE PRESIDENT5150018
DOWELL, RODNEY CAMMERONPRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT7376607
GOK, LISA ANNESECRETARY5059738
HALLORAN, THOMAS WILLIAMVICE PRESIDENT1921834
HOLWEGER, KIMBERLEYCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1572778
LEE, WINNIE AI-LINGASSISTANT SECRETARY7381661
MACKAY, TODD CHRISTOPHERCHIEF EXECUTIVE OFFICER2799860
MCCALLOP, PATRICIA RUTHERFORDBROKER DEALER CO-CHIEF COMPLIANCE OFFICER5059176
MIZUGUCHI, MAURACHIEF ACCOUNTING OFFICER AND TREASURER5769181
MOLNAR, MICHAEL JAMESVICE PRESIDENT4866129
NEARY, JOSEPH DANIELMANAGER AND VICE PRESIDENT2993505
NILAND, ERIK BRADLEYVICE PRESIDENT2796476
OBRIEN, EDWARD DMANAGER2239064
PATTERSON, GERALDVICE PRESIDENT4302538
RAMOS, RAMONMONEY LAUNDERING REPORTING OFFICER2160203
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604
STINSON, TIMOTHY EARL MCCOYPRESIDENT AND MANAGER2272183
STONE, TIMOTHY PATRICKVICE PRESIDENT3038963
VAN HAVERMAAT, DAVID JAMESASSISTANT SECRETARY7042846
WATTS, ANDREW DAVIDVICE PRESIDENT4780880
WENIG, HARLAN DAVIDVICE PRESIDENT4690768

Regulatory Assets Under Management

Total Number of Accounts

192,956

AUM (Assets Under Management)

$46,651,447,975

Disclosures

Regulatory Event

20

Civil Event

2

Arbitration

15

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

1. NAME OF OTHER BUSINESS: TAX AND FINANCIAL SERVICES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: TAX PREPARATION & CONSULTATION START DATE: 1982 APX NUMBER OF HOURS PER WEEK: AS NEEDED APX NUMBER OF TRADING HOURS PER WEEK: AS NEEDED POSITION/TITLE/RELATIONSHIP: 100% OWNER BRIEF DESCRIPTION OF DUTIES: PREFORM YEARLY TAX RETURNS 2. NAME OF OTHER BUSINESS: BENCHMARK INVESTMENT RELATED: YES ADDRESS: 1961 MANCHESTER ROAD, ERIE, PA 16505 NATURE OF BUSINESS: DBA NAME ONLY START DATE: 12/5/12 POSITION/TITLE/RELATIONSHIP: N/A APX NUMBER OF HOURS PER WEEK: N/A APX NUMBER OF HOURS DURING TRADING HOURS: N/A BRIEF DESCRIPTION OF DUTIES: N/A 3. NAME OF OTHER BUSINESS: DARLENE LEONARDI INVESTMENT RELATED: NO ADDRESS: 1961 MANCHESTER RD ERIE PA 16505 NATURE OF BUSINESS: AMBIT ENERGY (BILLING) START DATE: 3/1/2013 APX NUMBER OF HOURS PER WEEK: 10-15 APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: CHARGING GAS & ELECTRIC CUSTOMERS OF AMBIT ENERGY, ASSISTANT TO WIFE DARLENE 4. NAME OF OTHER BUSINESS: JOHN & DARLENE LEONARDI INVESTMENT RELATED: NO ADDRESS: 1961 MANCHESTER RD ERIE PA 16505 NATURE OF BUSINESS: FOSTER CARE START DATE: 5/1/2013 APX NUMBER OF HOURS PER WEEK: N/A APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RESPITE CARE OF CHILDREN AS FOSTER PARENTS 5. NAME OF OTHER BUSINESS: REPUBLICAN COMMITTEE FAIRVIEW DISTRICT 2, INVESTMENT RELATED: NO, ADDRESS: 8343 EDINBORO RD ERIE PA 16509, NATURE OF BUSINESS: POLITICAL PARTY START DATE: 4/2016 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF TRADING HOURS PER WEEK: 2 POSITION/TITLE/RELATIONSHIP: COMMITTEE PERSON BRIEF DESCRIPTION OF DUTIES: CALL REPUBLICAN VOTERS IN FAIRVIEW ARE AND WORK AT POLLS ON ELECTION DAYS 6. NAME OF OTHER BUSINESS: THE UPPER ROOM INC INVESTMENT RELATED: NO ADDRESS: 1024 PEACH, ERIE, PA NATURE OF BUSINESS: HOMELESS SHELTER START DATE: 7/2016 POSITION/TITLE/RELATIONSHIP: TREASURER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: BOARD MEMBER-VOLUNTEER ; 7. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FIXED INSURANCE ; START DATE: 09/2019 ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE INSURANCE ;

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1982About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2000About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jun 1982About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Dec 1999About the Series 24 exam

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
JL
Follow John
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required