Leauwandeau M. Clarke

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CRD#: 1680148

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.

Leauwandeau Michael Clarke, who also goes by L Michael Clarke, Leau Clarke, was a registered financial professional .

Leauwandeau is a previously registered financial professional and started their career in finance in 1987. Leauwandeau had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 30 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

L Michael Clarke | Leau Clarke

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)

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

March 9, 2016 - July 27, 2016

VISION INVESTMENT ADVISORS, LLC

RIA

CRD#: 109621

Valencia, CA

Past

September 25, 2014 - January 30, 2015

VISION INVESTMENT ADVISORS, LLC

RIA

CRD#: 109621

SANTA MONICA, CA

Past

May 6, 1999 - March 8, 2004

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

November 25, 1996 - December 9, 1998

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

Past

November 8, 1990 - November 26, 1996

TOLUCA PACIFIC SECURITIES CORP.

CRD#: 13875

BURBANK, CA

Past

January 17, 1990 - November 7, 1990

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

May 10, 1988 - February 5, 1990

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

March 9, 1988 - April 19, 1988

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

Past

August 20, 1987 - October 28, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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".

VISION INVESTMENT ADVISORS, LLC

VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC

CRD#: 109621 / SEC#: 801-57975

RIA

Registered Investment Advisory firm - (9/22/2000 Approved)

California

Registered Investment Advisory firm - (11/11/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (10/13/2015 Terminated)

Florida

Registered Investment Advisory firm - (10/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/15/2015 Terminated)

Michigan

Registered Investment Advisory firm - (10/26/2015 Terminated)

Nebraska

Registered Investment Advisory firm - (10/12/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (10/29/2015 Terminated)

New York

Registered Investment Advisory firm - (10/12/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (12/31/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (10/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2015 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: 9/24/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 2/4/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 30

Date: 5/4/2015

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/1995

General Securities Principal Examination

Current Firm

VISION INVESTMENT ADVISORS, LLC

VISION BROKERAGE SERVICES | VISION INVESTMENT ADVISORS, LLC | VISION FINANCIAL MARKETS LLC

CRD#: 109621 / SEC#: 801-57975

RIA

Registered Investment Advisory firm - (9/22/2000 Approved)

California

Registered Investment Advisory firm - (11/11/2015 Terminated)

Connecticut

Registered Investment Advisory firm - (10/13/2015 Terminated)

Florida

Registered Investment Advisory firm - (10/12/2015 Terminated)

Illinois

Registered Investment Advisory firm - (10/15/2015 Terminated)

Michigan

Registered Investment Advisory firm - (10/26/2015 Terminated)

Nebraska

Registered Investment Advisory firm - (10/12/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (10/29/2015 Terminated)

New York

Registered Investment Advisory firm - (10/12/2015 Terminated)

South Dakota

Registered Investment Advisory firm - (12/31/2015 Terminated)

Tennessee

Registered Investment Advisory firm - (10/16/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/12/2015 Terminated)

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Contact information

Main Address

1010 Washington Blvd Suite 300, Stamford, CT 06901

Mailing Address

Phone number

(203) 388-2700

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (26 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VIA ADV PART 2A 03-15-2024 (4/23/2025)

VIA ADV PART 2A WRAP PROGRAM 3-15-2024 (3/4/2025)

Regulatory assets under management

Total Number of Accounts	98
AUM (Assets Under Management)	$ 117,879,479

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/24/2023	Cover Page	Report
11/28/2022	Cover Page	Report

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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Firm Stability Insights

Leauwandeau M. Clarke

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VISION INVESTMENT ADVISORS, LLC

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

TOLUCA PACIFIC SECURITIES CORP.

THE STUART-JAMES COMPANY, INCORPORATED

MORGAN STANLEY DW INC.

FIRST MONTAUK SECURITIES CORP.

BLINDER, ROBINSON & CO., INC.

Primary Firm SEC Registration

VISION INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2014

Series 63

Date: 9/3/1987

Series 3

Date: 2/4/1998

Series 7

Date: 8/15/1987

Series 30

Date: 5/4/2015

Series 24

Date: 8/22/1995

Current Firm

VISION INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (26 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VISION INVESTMENT ADVISORS, LLC

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