Leon A. Wiatrak

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CRD#: 1664444

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.

Leon Adam Wiatrak, who also goes by Leon A Wiatrak, was a registered financial professional .

Leon is a previously registered financial professional and started their career in finance in 1990. Leon had worked at 12 firms and has passed the Series 65, Series 63, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Leon A Wiatrak

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.

SALESIAN BOYS & GIRLS CLUB OF SAN FRANCISCO - MEMBER, BOARD OF DIRECTORS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 4, 2020 - September 30, 2025

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

RIA

CRD#: 165451

MILL VALLEY, CA

Past

January 31, 2018 - December 30, 2020

MCCULLOUGH & ASSOCIATES LLC

RIA

CRD#: 133794

MILL VALLEY, CA

Past

March 24, 2008 - December 31, 2017

MCCULLOUGH & ASSOCIATES LLC

RIA

CRD#: 133794

MILL VALLEY, CA

Past

October 17, 2005 - January 20, 2010

GBS FINANCIAL CORP.

RIA

CRD#: 16906

SAN FRANCISCO, CA

Past

October 17, 2005 - January 20, 2010

GBS FINANCIAL CORP.

CRD#: 16906

SAN FRANCISCO, CA

Past

June 13, 2005 - November 9, 2005

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

April 12, 2004 - February 28, 2005

MCCULLOUGH, ANDREWS & CAPPIELLO, INC

RIA

CRD#: 105924

SAN FRANCISCO, CA

Past

March 16, 2004 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

March 13, 2003 - February 26, 2004

NOLLENBERGER CAPITAL PARTNERS INC.

RIA

CRD#: 119248

SAN FRANCISCO, CA

Past

July 11, 2002 - February 26, 2004

NOLLENBERGER CAPITAL PARTNERS INC.

CRD#: 119248

SAN FRANCISCO, CA

Past

March 26, 2002 - June 21, 2002

EPLANNING ADVISORS INC

RIA

CRD#: 109184

BELVEDERE, CA

Past

March 25, 2002 - June 21, 2002

EPLANNING SECURITIES, INC.

CRD#: 46000

ROSEVILLE, CA

Past

February 19, 1999 - July 5, 2000

RELEVANT WEALTH ADVISORS, LLC

CRD#: 1489

MILL VALLEY, CA

Past

February 2, 1993 - February 2, 1999

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

January 11, 1990 - July 19, 1990

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

CRD#: 19792

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/4/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/8/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/25/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/13/2000

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/1998

General Securities Principal Examination

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

BW NOLLENBERGER INVESTMENT MANAGEMENT, INC. | NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC | NOLLENBERGER INVESTMENT MANAGEMENT LLC

CRD#: 165451 / SEC#: 801-120348

RIA

Registered Investment Advisory firm - (2/16/2021 Approved)

California

Registered Investment Advisory firm - (3/25/2021 Terminated)

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Contact information

Main Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Mailing Address

100 Shoreline Highway Building B, Suite 380, Mill Valley, CA 94941

Phone number

(415) 287-5100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/12/2025)

Regulatory assets under management

Total Number of Accounts	87
AUM (Assets Under Management)	$ 137,623,976

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

Leon A. Wiatrak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MCCULLOUGH & ASSOCIATES LLC

MCCULLOUGH & ASSOCIATES LLC

GBS FINANCIAL CORP.

GBS FINANCIAL CORP.

FIRST ALLIED SECURITIES, INC.

MCCULLOUGH, ANDREWS & CAPPIELLO, INC

ROUND HILL SECURITIES, INC.

NOLLENBERGER CAPITAL PARTNERS INC.

NOLLENBERGER CAPITAL PARTNERS INC.

EPLANNING ADVISORS INC

EPLANNING SECURITIES, INC.

RELEVANT WEALTH ADVISORS, LLC

WELLS FARGO SECURITIES, LLC

WESTPAC POLLOCK GOVERNMENT SECURITIES INC.

Primary Firm SEC Registration

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/4/1996

Series 63

Date: 1/8/1993

Series 7

Date: 1/25/1993

Series 53

Date: 4/13/2000

Series 24

Date: 5/27/1998

Current Firm

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NOLLENBERGER MCCULLOUGH INVESTMENT ADVISORS LLC

TRUST BUT VERIFY

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