Leandro E. Figueroa

ADP BROKER-DEALER

Florham Park, NJ 07932

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CRD#: 1572555

Professional summary

Leandro Evangelista Figueroa, who also goes by Lee Figueroa, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.

Leandro is registered as a RR (Registered Representative) and started their career in finance in 1986. Leandro has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lee Figueroa

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leandro Evangelista Figueroa'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

November 17, 2014 - Present

ADP BROKER-DEALER, INC.

Office #1: 71 Hanover Road, Florham Park, NJ 07932

CRD#: 37693

Florham Park, NJ

Past

February 22, 2010 - June 3, 2013

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

October 2, 2006 - November 23, 2009

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

STAMFORD, CT

Past

July 3, 1995 - October 3, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

July 3, 1995 - October 3, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 7, 1994 - March 22, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 17, 1992 - June 2, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Past

May 10, 1988 - October 18, 1989

UR FINANCIAL, INC.

CRD#: 10509

Past

November 4, 1987 - February 10, 1988

OXFORD CAPITAL SECURITIES, INC.

CRD#: 19568

Past

October 30, 1986 - October 12, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/13/2019)

Alaska
(8/13/2019)

Arizona
(4/30/2015)

Arkansas
(8/13/2019)

California
(12/3/2014)

Colorado
(8/13/2019)

Connecticut
(11/17/2014)

Delaware
(8/13/2019)

District of Columbia
(3/11/2016)

Florida
(4/30/2015)

Georgia
(4/30/2015)

Hawaii
(8/13/2019)

Idaho
(8/13/2019)

Illinois
(12/3/2014)

Indiana
(4/30/2015)

Iowa
(8/13/2019)

Kansas
(8/13/2019)

Kentucky
(4/30/2015)

Louisiana
(8/13/2019)

Maine
(8/13/2019)

Maryland
(3/11/2016)

Massachusetts
(12/3/2014)

Michigan
(8/13/2019)

Minnesota
(8/13/2019)

Mississippi
(8/13/2019)

Missouri
(8/13/2019)

Montana
(8/13/2019)

Nebraska
(8/13/2019)

Nevada
(8/13/2019)

New Hampshire
(12/3/2014)

New Jersey
(12/3/2014)

New Mexico
(8/13/2019)

New York
(12/3/2014)

North Carolina
(3/18/2015)

North Dakota
(8/13/2019)

Ohio
(8/14/2019)

Oklahoma
(8/13/2019)

Oregon
(8/13/2019)

Pennsylvania
(12/3/2014)

Rhode Island
(12/2/2014)

South Carolina
(8/13/2019)

South Dakota
(8/13/2019)

Tennessee
(8/14/2019)

Texas
(12/3/2014)

Utah
(8/13/2019)

Vermont
(12/3/2014)

Virgin Islands
(5/3/2024)

Virginia
(3/11/2016)

Washington
(8/13/2019)

West Virginia
(8/13/2019)

Wisconsin
(8/13/2019)

Wyoming
(8/13/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/9/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/29/1986

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ADP BROKER-DEALER, INC.

CRD#: 37693 / SEC#: , 8-47885

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

One Adp Boulevard, Roseland, NJ 07068-1786

Mailing Address

71 Hanover Road Ms - 580, Florham Park, NJ 07932

Phone number

(973) 712-2316

Established

New Jersey since 07/12/1994

Firm type

Corporation

Fiscal year end

June

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ADP ATLANTIC, LLC	SHAREHOLDER
BARRENECHEA, PATRICIA MARGOT	FINOP	1715189
BLAKE, JAMES PATRICK	PRESIDENT, DIRECTOR	3078844
BOYLE, JAMES RICHARD	AML OFFICER	3137180
DOSPASSOS-KRIEG, KRISTIN ANNE	DIRECTOR	3079254
HANLEY, JUANITA DAVIDA	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT	5217439
HODGES, JEFFRY AARON	DIRECTOR	5865575
HUREAU, MICHAEL RAY	DIRECTOR	5990787
MCCUE, TERRANCE	RISK MANAGEMENT OFFICER	7259942

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.

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Advisor Monitoring

Firm Stability Insights

Leandro E. Figueroa

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Leandro Evangelista Figueroa's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADP BROKER-DEALER, INC.

EMPOWER FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHATFIELD DEAN & CO., INC.

UR FINANCIAL, INC.

OXFORD CAPITAL SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/9/1994

Series 63

Date: 2/14/1992

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/12/1992

Series 6

Date: 10/29/1986

FINRA

Current Firm

ADP BROKER-DEALER, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ADP BROKER-DEALER, INC.

TRUST BUT VERIFY

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