Leo Sala
Professional summary
Leo Sala III was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leo Sala III, who also goes by Leo Sala, was a registered financial advisor .
Leo is a previously registered financial advisor and started their career in finance in 1983. Leo had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2007 - August 27, 2009
AMERIPRISE ADVISOR SERVICES, INC.
April 2, 2007 - July 30, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - July 30, 2007
MORGAN STANLEY & CO. LLC
January 10, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
December 17, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
October 1, 2000 - January 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - January 4, 2005
WELLS FARGO CLEARING SERVICES, LLC
April 13, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 2, 1987 - April 5, 2000
A. G. EDWARDS & SONS, INC.
September 23, 1983 - June 9, 1987
J. B. HANAUER & CO.
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
AMERIPRISE ADVISOR SERVICES, INC.
CRD#: 5979 / SEC#: , 8-16752
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING CORPORATION | SHAREHOLDER | |
| ANDREW, DAVID CRESWELL | CHIEF LEGAL OFFICER, SENIOR VICE PRESIDENT | 2984773 |
| CLIFFORD, TIMOTHY JOHN | VP, ENTERPRISE SCALE & TAX PARTNERING | 1061464 |
| CRACCHIOLO, JAMES MICHAEL | DIRECTOR | 4251944 |
| DOYLE, DAVID TIMOTHY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2552281 |
| FILDES, LISA SUE | SECRETARY | 1596975 |
| FROUDE, DONALD E | PRESIDENT, CEO, DIRECTOR | 1002120 |
| GESCHKE, DAVID EDWARD | SVP, CHIEF OPERATING OFFICER, DIVISIONAL DIRECTOR, DIRECTOR | 1618774 |
| MCASKIN, DAN MICHAEL | VICE PRESIDENT, DIRECTOR OF OPERATIONS, DIRECTOR | 1099566 |
| O'CONNELL, PATRICK HUGH | SVP, DIVISIONAL DIRECTOR | 2246285 |
| SCHERMAN, JEFFREY JOSEPH | CFO | 4338820 |
| SMITH, ERNEST ROBERT | VICE PRESIDENT | 2362379 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
| TOWNSEND, MICHAEL WILLIAM | VP, DIVISIONAL DIRECTOR | 2244230 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 165 |
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.
