MV
Mark D. Vanleeuwen
VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
Richmond, KY 40475
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CRD#: 1139666
MV
Professional summary
Mark Dennis Vanleeuwen, CFP®, who also goes by Mark D Vanleeuwen, is a registered financial advisor currently at VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES located in Richmond, Kentucky and LPL FINANCIAL LLC located in Richmond, Kentucky.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark D Vanleeuwen
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. 10/30/2009: Van Leeuwen Retirement & Investment Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 1/12/2016: JSA at Highland, LLC - Investment Related - 4880 Athens Walnut Hill Pike, Lexington KY - Business Entity For Tax/Investment Purposes Only - Started 12/28/2015 - 1 Hours Per Month/0 Hours During Securities Trading. 3. 01/03/2018 - Van Leeuwen & Associates, Inc. - DBA: Van Leeuwen Retirement & Investment Svcs - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 09/15/2017 - 50 Hours Per Month / 40 Hours During Trading - I provide investment advisory services through Van Leeuwen & Associates, Inc., an independent investment advisor firm. I started this business activity in 09/2017. I expect to spend approximately 50 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4. 3/20/2018 - Van Leeuwen & Associates - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 09/11/1998 - 0 Hours Per Month. 5. 6/18/2021 - No Business Name - Investment Related - Sarasota, FL - Real Estate Rental - Start Date: 7/8/2021 - 1 Hours Per Month/0 Hours During Securities Trading. 6. 11/08/2022 - No Business Name - Investment Related - Lexington KY 40517 - Real Estate Rental - Start Date: 12/01/2022 - 1 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Dennis Vanleeuwen's CRS (Customer Relationship Summary).
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®
Start date: 2000
Experience
Current
September 12, 2017 - Present
VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
Office #1: 808 West Main Street, Richmond, KY 40475RIA
CRD#: 289463
Richmond, KY
Current
July 1, 2009 - Present
LPL FINANCIAL LLC
Office #1: 808 W Main St Lpl Financial, Richmond, KY 40475-1101RIA
BD
CRD#: 6413
Richmond, KY
Past
November 3, 2015 - January 17, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
July 1, 2009 - October 28, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
LEXINGTON, KY
Past
September 11, 1998 - July 1, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
RICHMOND, KY
Past
September 11, 1998 - July 1, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
RICHMOND, KY
Past
January 21, 1984 - September 11, 1998
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
VL
VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
VAN LEEUWEN & ASSOCIATES, INC. | VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
CRD#: 289463 / SEC#: 801-111092
RIA
Registered Investment Advisory firm - (9/5/2017 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/1/2009)
RR
Arizona(7/1/2009)
RR
Arkansas(9/4/2012)
RR
California(2/28/2011)
RR
Colorado(7/19/2010)
RR
Connecticut(6/8/2011)
RR
Florida(7/1/2009)
RR
Georgia(7/1/2009)
RR
Illinois(7/1/2009)
RR
Indiana(7/1/2009)
RR
Kansas(7/1/2009)
RR
Kentucky(7/1/2009)
IAR
Kentucky(9/12/2017)
RR
Louisiana(7/29/2014)
RR
Massachusetts(3/13/2012)
RR
Michigan(7/1/2009)
RR
Minnesota(4/9/2014)
RR
Mississippi(10/15/2024)
RR
Missouri(7/1/2009)
RR
New Hampshire(7/1/2009)
RR
New Jersey(7/1/2009)
RR
New Mexico(6/13/2019)
RR
New York(7/1/2009)
RR
North Carolina(7/1/2009)
RR
Ohio(7/1/2009)
RR
Oklahoma(7/1/2009)
RR
Oregon(9/6/2011)
RR
Pennsylvania(11/5/2013)
RR
Rhode Island(10/15/2024)
RR
South Carolina(7/1/2009)
RR
Tennessee(7/1/2009)
RR
Texas(7/1/2009)
IAR
Texas(11/18/2021)
RR
Virginia(7/1/2009)
RR
West Virginia(7/1/2009)
RR
Wisconsin(7/1/2009)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VL
VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
VAN LEEUWEN & ASSOCIATES, INC. | VAN LEEUWEN RETIREMENT & INVESTMENT SERVICES
CRD#: 289463 / SEC#: 801-111092
RIA
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Contact information
Main Address
808 West Main Street, Richmond, KY 40475
Mailing Address
Phone number
(859) 626-3400
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,115 |
| AUM (Assets Under Management) | $ 460,686,484 |
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.
