Leonard J. Stecklow
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 Jeffrey Stecklow, CFP®, who also goes by Leonard Jeffrey Stecklow, Leonard Stecklow, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1986. Leonard had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 3, 2018 - January 11, 2021
TD AMERITRADE, INC.
April 2, 2018 - January 11, 2021
TD AMERITRADE, INC.
January 15, 2015 - October 7, 2016
E*TRADE SECURITIES LLC
October 14, 2010 - December 31, 2014
PROTECTED INVESTORS OF AMERICA
January 22, 2004 - November 21, 2008
NATIONAL FINANCIAL SERVICES LLC
April 27, 2001 - January 22, 2004
FIDELITY DISTRIBUTORS CORPORATION
July 13, 1989 - January 22, 2004
FIDELITY BROKERAGE SERVICES LLC
January 25, 1989 - May 24, 1989
PAMCO SECURITIES AND INSURANCE SERVICES
December 11, 1987 - February 2, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
May 27, 1986 - December 23, 1987
LEHMAN BROTHERS INC.
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
Series 7TO
Date: 7/12/2022
General Securities Representative ExaminationSeries 8
Date: 8/1/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
