Margaret L. 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.
Margaret Lorene Leonard, who also goes by Peggy Leonard, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1990. Margaret had 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.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2016 - July 28, 2026
WFS, LLC
July 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 ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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