Jeffrey M. Leib
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.
Jeffrey Mark Leib, who also goes by Jeff Leib, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1994. Jeffrey had worked at 12 firms and has passed the Series 63 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
July 2, 2012 - February 25, 2015
ONE CAPITAL MANAGEMENT, LLC
December 2, 2010 - October 25, 2011
WOODBURY FINANCIAL SERVICES, INC.
September 5, 2008 - September 21, 2010
NEXT FINANCIAL GROUP, INC.
September 4, 2008 - September 21, 2010
NEXT FINANCIAL GROUP, INC.
June 20, 2007 - September 5, 2008
QA3 FINANCIAL LLC
June 20, 2007 - September 5, 2008
QA3 FINANCIAL CORP.
July 28, 2005 - June 22, 2007
FINANCIAL WEST GROUP
July 28, 2005 - June 22, 2007
FINANCIAL WEST GROUP
June 24, 2005 - August 24, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 18, 2004 - June 27, 2005
WESTMINSTER FINANCIAL SECURITIES, INC.
June 30, 2003 - May 28, 2004
LEO BROKERAGE, LLC
January 30, 2001 - September 16, 2003
THE LEADERS GROUP, INC.
November 15, 1996 - February 8, 2001
HIMCO DISTRIBUTION SERVICES COMPANY
August 1, 1994 - December 15, 1994
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
ONE CAPITAL MANAGEMENT, LLC
CRD#: 114861 / SEC#: 801-60483
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
ONE CAPITAL MANAGEMENT, LLC
CRD#: 114861 / SEC#: 801-60483
Contact information
SEC notice filing (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,302 |
| AUM (Assets Under Management) | $ 7,002,823,758 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/17/2025 | ||
| 04/16/2024 | ||
| 02/12/2023 |
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.
