Leonard D. Quiroz
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 Donald Quiroz, who also goes by Len Quiroz, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1986. Leonard had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2022 - December 21, 2022
ALPHASTAR CAPITAL MANAGEMENT
February 16, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 16, 2005 - November 30, 2011
MSI FINANCIAL SERVICES, INC.
June 17, 2004 - February 4, 2005
LPL FINANCIAL LLC
June 17, 2004 - February 4, 2005
LPL FINANCIAL LLC
January 28, 2003 - June 18, 2004
WS GRIFFITH SECURITIES, INC.
September 16, 1993 - June 18, 2004
WS GRIFFITH SECURITIES, INC.
November 12, 1986 - September 17, 1993
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
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
ALPHASTAR CAPITAL MANAGEMENT
CRD#: 157423 / SEC#: 801-72361
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,592 |
| AUM (Assets Under Management) | $ 1,841,154,148 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/12/2023 | ||
| 06/27/2023 | ||
| 01/24/2023 |
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.
