Leonard J. Bertucci
Professional summary
Leonard Joseph Bertucci was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leonard is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Leonard had worked at 7 firms, which includes TRANSAMERICA FINANCIAL ADVISORS LLC, QUESTAR CAPITAL CORPORATION, CALIFORNIA FINANCIAL NETWORK INC., INVESTORS CAPITAL CORP., WMA SECURITIES INC., USLIFE EQUITY SALES CORP., NATIONAL PLANNING CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2002 - November 18, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 4, 2000 - December 31, 2001
QUESTAR CAPITAL CORPORATION
September 19, 2000 - November 7, 2000
CALIFORNIA FINANCIAL NETWORK, INC.
February 2, 2000 - September 15, 2000
QUESTAR CAPITAL CORPORATION
July 29, 1999 - December 23, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 8, 1997 - February 19, 1999
INVESTORS CAPITAL CORP.
July 23, 1996 - April 16, 1997
WMA SECURITIES, INC.
November 2, 1994 - June 19, 1996
USLIFE EQUITY SALES CORP.
September 25, 1992 - July 18, 1994
NATIONAL PLANNING CORPORATION
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
