Leo R. Misita

Some features on this profile are disabled

CRD#: 1053435

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.

Leo Raymond Misita, CFP® was a registered financial professional .

Leo is a previously registered financial professional and started their career in finance in 1982. Leo had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

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®

CFP^®

Certified Financial Planner

Experience

Past

December 11, 2020 - December 31, 2020

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

ATLANTA, GA

Past

January 9, 2009 - April 20, 2018

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

August 8, 2008 - October 23, 2008

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

MARIETTA, GA

Past

August 22, 2006 - December 15, 2006

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

Past

April 7, 2003 - September 24, 2004

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ATLANTA, GA

Past

October 15, 1993 - September 24, 2004

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 26, 1985 - April 2, 1993

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

September 22, 1983 - July 30, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

Past

July 22, 1982 - September 23, 1983

FIRST JERSEY SECURITIES, INC.

CRD#: 6621

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/15/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/11/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/20/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/17/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/5/1987

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

EDELMAN FINANCIAL ENGINES

EDELMAN FINANCIAL ENGINES | FINANCIAL ENGINES ADVISORS LLC | FINANCIAL ENGINES ADVISORS L.L.C.

CRD#: 104510 / SEC#: 801-55196

RIA

Registered Investment Advisory firm - (1/14/1998 Approved)

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

3945 Freedom Circle, Santa Clara, CA 95054

Mailing Address

Phone number

(800) 601-5957

Established

Firm type

Fiscal year end

# of Employees

1,616

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFE_ADV_PART_2A_03.31.2025 (3/31/2025)

EFE_WRAP_FEE_BROCHURE_03.31.2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	1,552,934
AUM (Assets Under Management)	$ 292,902,969,770

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Leo R. Misita

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TD AMERITRADE, INC.

RESOURCE HORIZONS GROUP LLC

E*TRADE SECURITIES LLC

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY DW INC.

FIRST JERSEY SECURITIES, INC.

Primary Firm SEC Registration

EDELMAN FINANCIAL ENGINES

State Registrations and Notice Filings

Exams

Series 66

Date: 1/15/2004

Series 63

Date: 8/11/1982

SIE

Date: 4/20/2018

Series 7

Date: 7/17/1982

Series 8

Date: 8/5/1987

Current Firm

EDELMAN FINANCIAL ENGINES

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EDELMAN FINANCIAL ENGINES

TRUST BUT VERIFY

Similar Advisors