Kenneth E. Leopold
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.
Kenneth Elliott Leopold, who also goes by Kenneth Elliott Leopolo, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1990. Kenneth had worked at 2 firms and has passed the Series 8 and Series 14 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2002 - March 4, 2014
TWEEDY, BROWNE COMPANY LLC
April 17, 1990 - May 25, 2001
NEUBERGER BERMAN BD LLC
Primary Firm SEC Registration
TWEEDY, BROWNE COMPANY LLC
CRD#: 6857 / SEC#: 801-10669, 8-18316
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 8
Date: 3/5/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TWEEDY, BROWNE COMPANY LLC
CRD#: 6857 / SEC#: 801-10669, 8-18316
Contact information
SEC notice filing (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMG TBC HOLDINGS, INC. | MEMBER | |
| AMG TBC, LLC | MANAGING MEMBER | |
| SPEARS, JOHN DOUGLAS | MANAGING DIRECTOR | 808685 |
| BROWNE, WILLIAM HETHERINGTON | MANAGING DIRECTOR | 802645 |
| FINN, GLENN CHRISTOPHER | CHIEF OPERATIONS OFFICER | 2718270 |
| ROGERS, PATRICIA ANN | GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 2394326 |
| SHRAGER, THOMAS HENRIK | MANAGING DIRECTOR | 2069335 |
| WYCKOFF, ROBERT QUENTIN JR | MANAGING DIRECTOR | 1633652 |
Regulatory assets under management
| Total Number of Accounts | 226 |
| AUM (Assets Under Management) | $ 7,265,030,665 |
Disclosures
| Regulatory Event | 2 |
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.
