Margaret L. Leonard
Professional summary
Margaret Lorene Leonard, who also goes by Peggy Leonard, is a registered financial professional currently at WFS, LLC located in Boston, Massachusetts.
Margaret is registered as a RR (Registered Representative) and started their career in finance in 1990. Margaret has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 3, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Margaret Lorene Leonard's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2016 - Present
WFS, LLC
Office #1: One Boston Place, Boston, MA 02108Office #2: One Boston Place, Boston, MA 02108July 22, 1992 - August 30, 1996
UBS ASSET MANAGEMENT (US) INC.
September 28, 1990 - May 22, 1992
PIPER SANDLER & CO.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WFS, LLC
CRD#: 116778 / SEC#: , 8-53565
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WAINWRIGHT INVESTMENT COUNSEL, LLC | SHAREHOLDER | |
| ARISTIZABAL, GUSTAVO ADOLFO | CEO, BRANCH OFFICE MANAGER | 2735053 |
| LEONARD, MARGARET LORENE | CHIEF COMPLIANCE OFFICER | 2054939 |
| MARTINS, PAUL GEORGE | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 1189296 |
| SIRACUSE, MICHAEL WILLIAM, III | PRINCIPAL OPERATIONS OFFICER | 4342076 |
Red Flags
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Company Information
WFS, LLC
CRD#: 116778Boston, MA 02108TRUST BUT VERIFY
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