James C. Leo
Professional summary
James C. Leo, who also goes by James Charles Leo, Jim Leo, James Leo, is a registered financial advisor currently at LEO WEALTH MANAGEMENT, LLC located in Staten Island, New York.
James is registered as an IAR (Investment Advisor 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
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James C. Leo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2025 - Present
LEO WEALTH MANAGEMENT, LLC
Office #1: 1110 South Avenue Executive Suites, Staten Island, NY 10314October 15, 2024 - December 2, 2025
OSAIC ADVISORY SERVICES, LLC
October 11, 2024 - October 11, 2024
OSAIC WEALTH, INC.
October 11, 2024 - December 2, 2025
OSAIC WEALTH, INC.
November 25, 2022 - October 11, 2024
AMERICAN PORTFOLIOS ADVISORS, INC
November 23, 2022 - October 11, 2024
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
November 17, 2022 - November 18, 2022
AMERICAN PORTFOLIOS ADVISORS, INC
November 8, 2022 - December 8, 2022
LPL FINANCIAL LLC
November 8, 2022 - December 8, 2022
LPL FINANCIAL LLC
May 18, 2015 - November 8, 2022
AMERICAN PORTFOLIOS ADVISORS, INC
May 4, 2015 - November 8, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 9, 2014 - May 6, 2015
LPL FINANCIAL LLC
September 27, 2012 - May 6, 2015
LPL FINANCIAL LLC
May 27, 2008 - August 22, 2012
LPL FINANCIAL LLC
April 15, 2008 - May 27, 2008
IFMG SECURITIES, INC.
September 12, 2006 - January 17, 2007
IFMG SECURITIES, INC.
August 6, 2002 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
August 17, 2001 - May 15, 2002
CHASE INVESTMENT SERVICES CORP.
August 9, 2000 - May 29, 2001
PNC BROKERAGE CORP
October 21, 1998 - August 15, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
June 5, 1998 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
July 16, 1996 - May 18, 1998
ROBERT W. BAIRD & CO. INCORPORATED
July 16, 1996 - May 18, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 23, 1991 - June 20, 1996
NEW ENGLAND SECURITIES
October 27, 1989 - April 3, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 27, 1989 - April 3, 1991
EQUITABLE ADVISORS, LLC
January 9, 1989 - November 1, 1989
REICH & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/14/2025)
(11/7/2025)
Exams
Current Firm
LEO WEALTH MANAGEMENT, LLC
CRD#: 337537 / SEC#: 801-134141
Contact information
SEC notice filing (3 States and Territories)
Red Flags
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