LM
Leon P. Mcgroarty
COOPER MCMANUS
CHINO HILLS, CA
Some features on this profile are disabled
CRD#: 1787322
LM
Professional summary
Leon Patrick Mcgroarty, who also goes by Lee Mcgroarty, is a registered financial advisor currently at COOPER MCMANUS located in Chino Hills, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Irvine, California.
Leon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Leon has worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lee Mcgroarty
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.
1) 401K AMERICA INC, 13925 CITY CENTER DR, #210, CHINO HILLS CA, 01/2005, PRESIDENT, THIRD PARTY ADMINISTRATOR, INV REL, 60 HR/MO, 60 HR/MO TRADING. 2) COOPER MCMANUS, 1198 CANYON GLEN RD, CHINO HILLS, CA, 03/2024, ADVISORY REP OF AN RIA OTHER THAN CIRA, INV REL, 100 HR/MO, 100 HR/MO TRADING. 3) LEON MCGROARTY, 1198 CANYON GLEN RD, CHINO HILLS, CA, 03/2024, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDNET INSURANCE COMPANIES, NIR, 1 HR/MO, 1 HR/MO TRADING. 4) RETIREAMERICA INC., 1198 CANYON GLEN RD, CHINO HILLS, CA, 03/2024, PRESIDENT, DBA, NIR, 100 HR/MO, 100 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Leon Patrick Mcgroarty'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®
NoneExperience
Current
May 22, 2013 - Present
COOPER MCMANUS
RIA
CRD#: 111458
CHINO HILLS, CA
Current
March 27, 2020 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 9870 Research Dr., Irvine, CA 92618BD
CRD#: 39543
Irvine, CA
Past
July 31, 2012 - March 27, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHINO, CA
Past
August 21, 2007 - July 30, 2012
FINANCIAL TELESIS INC
BD
CRD#: 31012
CHINO, CA
Past
September 8, 2006 - August 21, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
IRVINE, CA
Past
March 17, 2000 - May 19, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
March 17, 2000 - August 21, 2007
OSAIC FA, INC.
BD
CRD#: 3978
IRVINE, CA
Past
February 25, 1999 - March 17, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
March 7, 1994 - October 12, 1998
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
BD
CRD#: 19242
WINDSOR, CT
Past
October 15, 1993 - October 12, 1998
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
July 11, 1990 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
April 13, 1989 - September 29, 1989
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
April 13, 1989 - September 29, 1989
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
January 28, 1988 - March 29, 1989
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
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".
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arizona(12/10/2021)
IAR
California(5/22/2013)
RR
California(3/27/2020)
RR
Florida(12/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CM
COOPER MCMANUS
401KAMERICA | WEST PRIVATE WEALTH MANAGEMENT | THE PURMORT GROUP | TAX SMART INVESTING & PLANNING | TADMAN FINANCIAL | SYV WEALTH ADVISORS | ROYAL GLOBAL ASSET MANAGEMENT LLC | RIDGE FINANCIAL PLANNING | RICCIO WEALTH MANAGEMENT | PRUDENCE WEALTH ADVISORY | PEARL FINANCIAL | NEWPORT INVESTORS | MORGAN STERLING PRIVATE WEALTH MANAGEMENT | MKT WEALTH MANAGEMENT | LORRIMER PRIVATE WEALTH MANAGEMENT | LINDSEY AND LINDSEY WEALTH MANAGEMENT | LEFT LANE FINANCIAL | LDW CONSULTING GROUP | LARSON FINANCIAL SERVICES, INC. | KERR FINANCIAL FAMILY | K.W. JONES WEALTH | IRVINE WEALTH MANAGEMENT | HARRINGTON FINANCIAL | FIRST PRINCIPLES WEALTH MANAGEMENT | FINANCIAL CLARITY GUIDES | FAIR PLANET ADVISORS | EVERGREEN WEALTH ADVISORY GROUP | EHG FINANCIAL | CROSS FINANCIAL INVESTMENTS | COOPER MCMANUS | COOPER FINANCIAL GROUP | CB WEALTH ADVISORY | AVANA WEALTH MANAGEMENT | ATLAS INDICATORS INVESTMENT ADVISORS | ASCENT WEALTH MANAGEMENT
CRD#: 111458 / SEC#: 801-61944
RIA
Registered Investment Advisory firm - (4/7/2003 Approved)California
Registered Investment Advisory firm - (4/9/2003 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
9870 Research Drive, Irvine, CA 92618
Mailing Address
Phone number
(800) 516-5333
Established
Firm type
Fiscal year end
# of Employees
52
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,372 |
| AUM (Assets Under Management) | $ 2,560,714,584 |
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.
