Joseph C. Leonard

LEONARD WEALTH MANAGEMENT

Lincolnton, NC 28092

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CRD#: 1197960

Professional summary

Joseph Cain Leonard II, who also goes by Cain Leonard II, J. Cain Leonard, Joseph Cain Leonard, Cain Leonard, is a registered financial advisor currently at LEONARD WEALTH MANAGEMENT, LLC located in Lincolnton, North Carolina.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Joseph has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cain Leonard Ii | J. Cain Leonard | Joseph Cain Leonard | Cain Leonard

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) COMMERCIAL PROPERTY MANAGEMENT; INVESTMENT RELATED; 713/715 SOUTH CEDAR ST, LINCOLNTON, NC 28092 AND 1412 EAST MAIN ST, LINCOLNTON, NC 28092; COMMERCIAL PROPERTY RENTALS; OWNER; 01/1994; 6; 6; (2) PROPERTY OWNER, LINCONLTON, NC;USES A PROPERTY MANAGER TO TAKE CARE OF DAY TO DAY DUTIES. (3) CAIN LEONARD TRUMPET STUDIO; NOT INVESTMENT RELATED; 215 KENNEDY DR, LINCOLNTON, NC 28092; TRUMPET LESSONS AND PERFORMANCES; OWNER; 03/2018; 8; 0; PROVIDES TRUMPET LESSONS AND PERFORMANCES AT EVENTS. (4)J CAIN LEONARD DBA LEONARD INSURANCE SOLUTIONS; INVESTMENT RELATED; SOLE PROPRIETOR; 312 EAST MAIN ST. LINCOLTON, NC 28092;OWNER;10/1995;80;0;INSURANCE SALES (5) SPEAKER; NON-INVESTMENT RELATED; LINCOLNTON, NC; PROVIDING ADULT EDUCATION ON RETIREMENT PLANNING; START: 04/2024; 24 HRS/MO - 8 DURING NON-TRADING

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Cain Leonard II'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®

None

Experience

Current

February 18, 2021 - Present

LEONARD WEALTH MANAGEMENT, LLC

Office #1: 312 East Water Street, Lincolnton, NC 28092

RIA

CRD#: 311277

Lincolnton, NC

Past

April 6, 2018 - February 16, 2021

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

LINCOLNTON, NC

Past

October 21, 2014 - April 9, 2018

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

LINCOLNTON, NC

Past

October 21, 2014 - April 9, 2018

BROOKSTONE ASSET MANAGEMENT, LLC

RIA

CRD#: 153467

LINCOLNTON, NC

Past

December 6, 2013 - October 14, 2014

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA

CRD#: 143384

LINCOLNTON, NC

Past

December 6, 2013 - October 2, 2014

RESOURCE HORIZONS GROUP LLC

CRD#: 104368

LINCOLNTON, NC

Past

December 31, 2001 - December 9, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

LINCOLNTON, NC

Past

August 22, 1994 - December 9, 2013

LPL FINANCIAL LLC

CRD#: 6413

LINCOLNTON, NC

Past

May 12, 1994 - August 23, 1994

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

May 13, 1991 - May 13, 1994

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

April 18, 1984 - May 17, 1991

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(2/18/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/30/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/2/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/14/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/1/1994

General Securities Principal Examination

Current Firm

LEONARD WEALTH MANAGEMENT, LLC

CRD#: 311277 / SEC#:

North Carolina

Registered Investment Advisory firm - (2/18/2021 Approved)

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Contact information

Main Address

312 East Water Street, Lincolnton, NC 28092

Mailing Address

Phone number

(704) 735-7427

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 6,000,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Joseph C. Leonard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Cain Leonard II's CRS (Customer Relationship Summary).

Certified licenses

Experience

AE WEALTH MANAGEMENT, LLC

BROOKSTONE WEALTH ADVISORS, LLC

BROOKSTONE ASSET MANAGEMENT, LLC

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RESOURCE HORIZONS GROUP LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

D.E. FREY & COMPANY, INC.

A. G. EDWARDS & SONS, INC.

WACHOVIA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/1984

SIE

Date: 10/2/2014

Series 3

Date: 8/14/1984

Series 7

Date: 4/14/1984

Series 24

Date: 12/1/1994

Current Firm

LEONARD WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEONARD WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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