Thomas C. Leonards
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.
Thomas Cathcart Leonards III, who also goes by III Thomas Cathcart Leonards, Tom Leonards, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1983. Thomas had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2016 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
January 13, 2015 - December 31, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 1, 2006 - January 23, 2015
QUESTAR CAPITAL CORPORATION
May 10, 2005 - December 1, 2006
USALLIANZ SECURITIES, INC.
April 10, 2003 - May 24, 2005
INVESTACORP, INC.
April 24, 2001 - April 17, 2003
CARILLON INVESTMENTS, INC.
March 14, 2001 - April 25, 2001
MML INVESTORS SERVICES, LLC
August 28, 1997 - March 7, 2001
1717 CAPITAL MANAGEMENT COMPANY
February 5, 1997 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
February 5, 1997 - August 18, 1997
SIGNATOR INVESTORS, INC.
January 15, 1993 - January 31, 1997
1717 CAPITAL MANAGEMENT COMPANY
August 7, 1992 - November 24, 1992
WS GRIFFITH SECURITIES, INC.
July 23, 1991 - May 18, 1992
ROBERT W. BAIRD & CO. INCORPORATED
July 23, 1991 - May 18, 1992
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 8, 1988 - October 12, 1989
ROBERT W. BAIRD & CO. INCORPORATED
September 8, 1988 - October 12, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 2, 1987 - December 31, 1989
G. R. PHELPS & CO., INC.
January 25, 1984 - May 21, 1986
JANNEY MONTGOMERY SCOTT LLC
January 18, 1983 - July 1, 1983
JOHN HANCOCK DISTRIBUTORS LLC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
Current Firm
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
