Paul A. Leonard
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.
Paul Anthony Leonard JR, who also goes by Paul Anthony Jr Leonard, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2013 - November 28, 2014
JANNEY MONTGOMERY SCOTT LLC
February 1, 2013 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
November 29, 2010 - June 18, 2012
KEYBANC CAPITAL MARKETS INC.
July 27, 2010 - November 29, 2010
MESIROW FINANCIAL, INC.
March 1, 2010 - July 23, 2010
NORTHEAST SECURITIES, LLC
May 19, 2009 - February 22, 2010
B. RILEY WEALTH MANAGEMENT
February 28, 2005 - March 21, 2007
BARCLAYS CAPITAL INC.
December 1, 1997 - February 15, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 6, 1996 - February 15, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 14, 1992 - July 13, 1994
MERRILL LYNCH GOVERNMENT SECURITIES INC.
November 23, 1988 - July 13, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
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: 8/5/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
