Leonard J. Velis
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.
Leonard James Velis, who also goes by Leonard J Velis, was a registered financial advisor .
Leonard is a previously registered financial advisor and started their career in finance in 1988. Leonard had worked at 6 firms and has passed the Series 65, 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 29, 2010 - December 31, 2012
GUNDERSON CAPITAL MANAGEMENT
September 12, 1994 - September 25, 2003
TORREY PINES SECURITIES, INC.
March 19, 1992 - August 22, 1994
FORTA FINANCIAL GROUP, INC.
November 1, 1991 - April 4, 1992
JMC INVESTMENT SERVICES, INC.
January 1, 1991 - September 25, 1991
REES FINANCIAL GROUP, INC.
May 24, 1989 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 25, 1988 - November 23, 1990
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
GUNDERSON CAPITAL MANAGEMENT
CRD#: 140795 / SEC#: 801-122484
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
GUNDERSON CAPITAL MANAGEMENT
CRD#: 140795 / SEC#: 801-122484
Contact information
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 619 |
| AUM (Assets Under Management) | $ 315,262,474 |
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.
