David J. Leyshon

Some features on this profile are disabled

CRD#: 1146050

Professional summary

David John Leyshon was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

David is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, David had worked at 5 firms, which includes SYNERGY INVESTMENT GROUP LLC, BRANCH CABELL & CO. INC., F.N. WOLF & CO. INC., PRUCO SECURITIES LLC., FINANCIAL ESTATE PLANNING INC..

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®

None

Experience

Past

October 2, 2001 - December 8, 2004

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

CHARLOTTE, NC

Past

November 14, 1990 - March 10, 1992

BRANCH, CABELL & CO., INC.

CRD#: 6820

Past

April 30, 1990 - November 20, 1990

F.N. WOLF & CO., INC.

CRD#: 13051

Past

October 13, 1984 - March 20, 1985

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

June 22, 1983 - July 15, 1985

FINANCIAL ESTATE PLANNING, INC.

CRD#: 287

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

Series 63

Date: 8/16/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/9/2001

General Securities Representative Examination

Current Firm

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA

Registered Investment Advisory firm - SEC (11/28/2012 Terminated)

Arizona

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Colorado

Registered Investment Advisory firm - SEC (11/23/2012 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Indiana

Registered Investment Advisory firm - SEC (11/13/2007 Terminated)

Maryland

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Nevada

Registered Investment Advisory firm - SEC (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (6/1/2010 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (7/1/2012 Approved)

Ohio

Registered Investment Advisory firm - SEC (12/31/2013 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (7/13/2012 Approved)

Tennessee

Registered Investment Advisory firm - SEC (12/9/2007 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/9/2007 Terminated)

Wyoming

Registered Investment Advisory firm - SEC (12/6/2017 Terminated)

Terminated by SEC on 05/05/2012

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

708 Mclain Road, Kannapolis, NC 28083

Mailing Address

Phone number

(704) 295-6692

Established

North Carolina since 07/28/1998

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SYNERGY HOLDING GROUP	MEMBER
HAYES, JOSEPH PATRICK	CHIEF COMPLIANCE OFFICER	4289211
JONES, JEFFREY DEAN	PART OWNER	4188324
VANHAMME, TRACY M	FINOP	5378592

Regulatory assets under management

Total Number of Accounts	324
AUM (Assets Under Management)	$ 53,106,235

Disclosures

Regulatory Event	7
Arbitration	2

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

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David J. Leyshon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SYNERGY INVESTMENT GROUP, LLC

BRANCH, CABELL & CO., INC.

F.N. WOLF & CO., INC.

PRUCO SECURITIES, LLC.

FINANCIAL ESTATE PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/16/2001

Series 7

Date: 8/9/2001

Current Firm

SYNERGY INVESTMENT GROUP, LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SYNERGY INVESTMENT GROUP, LLC

TRUST BUT VERIFY

Similar Advisors