JL
John C. Leonardi
Some features on this profile are disabled
CRD#: 1044996
JL
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.
John Clifford Leonardi, who also goes by John C. Leonardi, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John C. Leonardi
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 ;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
November 25, 2005 - November 30, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ERIE, PA
Past
October 24, 2005 - November 30, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ERIE, PA
Past
August 7, 2002 - December 31, 2005
BLUE VASE SECURITIES, LLC
RIA
CRD#: 46765
FAIRVIEW, PA
Past
July 29, 1999 - October 24, 2005
BLUE VASE SECURITIES, LLC
BD
CRD#: 46765
WASHINGTON, PA
Past
May 4, 1988 - August 18, 1999
HACKETT ASSOCIATES, INC.
BD
CRD#: 2106
WYOMISSING, PA
Past
September 16, 1985 - January 28, 1988
BUTTONWOOD SECURITIES CORPORATION OF MASSACHUSETTS
BD
CRD#: 7303
Past
June 7, 1982 - September 10, 1985
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
