James R. Leonard
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.
James Richard Leonard, CFP®, who also goes by Rick Leonard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1987. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2011 - September 8, 2022
CADENCE WEALTH MANAGEMENT, LLC
September 1, 2010 - September 1, 2011
M HOLDINGS SECURITIES, INC.
April 6, 2010 - August 31, 2011
KIBBLE & PRENTICE HOLDING COMPANY
November 15, 2002 - April 8, 2010
OSAGE INVESTMENTS, INC.
January 26, 1999 - March 22, 2010
RA BENCH, INC
August 21, 1998 - November 13, 2002
NATHAN & LEWIS SECURITIES, INC.
September 15, 1995 - September 21, 1998
CETERA ADVISORS LLC
May 17, 1988 - June 20, 1995
CINCINNATI ANALYSTS, INC.
September 15, 1987 - May 4, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 3, 1987 - September 11, 1987
PRUCO SECURITIES, LLC.
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
CADENCE WEALTH MANAGEMENT, LLC
CRD#: 158636 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 194 |
| AUM (Assets Under Management) | $ 100,945,476 |
Red Flags
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