Leon Gipson
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 Gipson JR., who also goes by Jr Leon Gipson, Leon Gipson Jr, Leon Gipson, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1984. Leon had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2022 - October 28, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 2, 2022 - October 20, 2022
FIDELITY BROKERAGE SERVICES LLC
July 6, 2017 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
July 6, 2017 - November 3, 2020
WELLS FARGO CLEARING SERVICES, LLC
September 25, 2015 - June 19, 2017
MORGAN STANLEY
September 25, 2015 - June 19, 2017
MORGAN STANLEY
January 13, 2014 - August 27, 2014
ALLSTATE FINANCIAL ADVISORS, LLC
January 10, 2014 - August 27, 2014
ALLSTATE FINANCIAL SERVICES, LLC
September 6, 2012 - April 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 30, 2012 - April 23, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 2011 - June 23, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 23, 2011
WELLS FARGO CLEARING SERVICES, LLC
March 14, 2003 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 19, 2002 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
April 2, 2001 - November 13, 2002
ROBERT VAN SECURITIES, INC.
September 19, 2000 - February 2, 2001
ROBERTSON STEPHENS, INC.
June 23, 1999 - July 12, 1999
BA INVESTMENT SERVICES, INC.
June 8, 1999 - August 22, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 20, 1999 - April 29, 1999
MML INVESTORS SERVICES, LLC
April 10, 1997 - March 3, 1999
CHARLES SCHWAB & CO., INC.
September 10, 1996 - March 28, 1997
CHAPMAN ON-LINE, INC
July 12, 1995 - November 2, 1995
GRIGSBY & ASSOCIATES, INC.
August 5, 1992 - July 11, 1995
CHAPMAN ON-LINE, INC
July 2, 1992 - July 13, 1992
INTERFIRST CAPITAL CORPORATION
August 17, 1987 - September 1, 1988
AGFC INVESTMENT SECURITIES
May 6, 1986 - January 7, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 24, 1984 - December 18, 1985
UBS FINANCIAL SERVICES INC.
April 18, 1984 - September 10, 1984
CHARLES SCHWAB & CO., INC.
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
Series 8
Date: 12/10/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
