JL
James C. Leo
OSAIC ADVISORY SERVICES
STATEN ISLAND, NY 10314
Some features on this profile are disabled
CRD#: 1911418
JL
Professional summary
James C. Leo, who also goes by James Charles Leo, Jim Leo, James Leo, is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in Staten Island, New York and LEO WEALTH MANAGEMENT, LLC located in Staten Island, New York.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. James has worked at 18 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Charles Leo | Jim Leo | James Leo
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) 10/26/2022 - JAMES LEO - Agent selling: FIXED ANNUITIES, LIFE INSURANCE AND HEALTH INSURANCE - Non-Variable Insurance - 8 hours per month - STATEN ISLAND, NY, 10314 - Start date: 04/01/2015. 2) 05/03/2023 - JAMES LEO - REAL ESTATE RENTAL INCOME, NOT INVESTMENT RELATED, START DATE = 04/01/2023, 100% OWNERHSIP, 1 HOUR PER MONTH, 1 HOUR PER MONTH DURING MARKET HOURS. 3) LEO WEALTH MANAGEMENT LLC-BUSINESSS DESCRIPTION- RUNNING A BUSINESS THROUGH THIS CORPORATION IN BAYONNE NJ-NOT INVESTMENT RELATED, START DATE 1/11/23 100% OWNERSHIP 0-1 HOUR PER MONTH DURING TRADING HOURS 0-1 HOUR PER MONTH. 4)
CRS (Client Relationship Summary) - RIA
Click below to view James C. Leo'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
October 15, 2024 - Present
OSAIC ADVISORY SERVICES, LLC
Office #1: 1110 South Ave Executive Suites, Staten Island, NY 10314RIA
CRD#: 171070
STATEN ISLAND, NY
Current
November 7, 2025 - Present
LEO WEALTH MANAGEMENT, LLC
Office #1: 1110 South Avenue Executive Suites, Staten Island, NY 10314RIA
CRD#: 337537
STATEN ISLAND, NY
Current
October 11, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 1110 South Ave Executive Suites, Staten Island, NY 10314RIA
BD
CRD#: 23131
Staten Island, NY
Past
October 11, 2024 - October 11, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
SCOTTSDALE, AZ
Past
November 25, 2022 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
November 23, 2022 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Staten Island, NY
Past
November 17, 2022 - November 18, 2022
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
November 8, 2022 - December 8, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
STATEN ISLAND, NY
Past
November 8, 2022 - December 8, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
STATEN ISLAND, NY
Past
May 18, 2015 - November 8, 2022
AMERICAN PORTFOLIOS ADVISORS, INC
RIA
CRD#: 112697
HOLBROOK, NY
Past
May 4, 2015 - November 8, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
Staten Island, NY
Past
May 9, 2014 - May 6, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
STATEN ISLAND, NY
Past
September 27, 2012 - May 6, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
STATEN ISLAND, NY
Past
May 27, 2008 - August 22, 2012
LPL FINANCIAL LLC
BD
CRD#: 6413
STATEN ISLAND, NY
Past
April 15, 2008 - May 27, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
STATEN ISLAND, NY
Past
September 12, 2006 - January 17, 2007
IFMG SECURITIES, INC.
BD
CRD#: 14416
STATEN ISLAND, NY
Past
August 6, 2002 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
JERSEY CITY, NJ
Past
August 17, 2001 - May 15, 2002
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
August 9, 2000 - May 29, 2001
PNC BROKERAGE CORP
BD
CRD#: 34671
PITTSBURGH, PA
Past
October 21, 1998 - August 15, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 7246
BETHLEHEM, PA
Past
June 5, 1998 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
BD
CRD#: 34637
HOUSTON, TX
Past
July 16, 1996 - May 18, 1998
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
July 16, 1996 - May 18, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
April 23, 1991 - June 20, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 27, 1989 - April 3, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 27, 1989 - April 3, 1991
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
January 9, 1989 - November 1, 1989
REICH & CO., INC.
BD
CRD#: 19611
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".
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
Registered Investment Advisory firm - (7/17/2014 Approved)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
Delaware(10/11/2024)
RR
Florida(10/11/2024)
IAR
Florida(11/5/2024)
RR
New Jersey(10/11/2024)
IAR
New Jersey(10/15/2024)
RR
New York(10/11/2024)
IAR
New York(10/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(866) 580-8219
Established
Firm type
Fiscal year end
# of Employees
2,594
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 47,032 |
| AUM (Assets Under Management) | $ 12,469,688,882 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 01/24/2024 | ||
| 12/21/2022 |
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.
