Michael J. Leeming

TRADESTATION SECURITIES

Plantation, FL 33324

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CRD#: 2110957

Professional summary

Michael John Leeming, who also goes by Michael J Leeming, Michael J. Leeming, Mike Leeming, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 22 firms and has passed the Series 65, Series 63, Series 3, Series 6TO, Series 57TO, SIE, Series 55, Series 25, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael J Leeming | Michael J. Leeming | Mike Leeming

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. Sound Income Strategies LLC - 03-2024 - Present. Portfolio Analyst. 500 West Cypress Creek Road Suite 290 Fort Lauderdale, Florida 33309. Assist in allocation of Sound Income Strategies Portfolios. This encompasses 100% of business hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Leeming's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 4, 2025 - Present

TRADESTATION SECURITIES, INC.

Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324

CRD#: 39473

Plantation, FL

Past

April 15, 2024 - November 14, 2024

SOUND INCOME STRATEGIES, LLC

RIA

CRD#: 173272

Fort Lauderdale, FL

Past

August 14, 2023 - October 10, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

SAINT PAUL, MN

Past

August 14, 2023 - October 10, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SAINT PAUL, MN

Past

August 14, 2023 - October 10, 2023

CETERA ADVISORS LLC

CRD#: 10299

SAINT PAUL, MN

Past

June 29, 2023 - November 14, 2023

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Saint Paul, MN

Past

June 16, 2023 - October 10, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

SAINT PAUL, MN

Past

February 20, 2023 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

Boca Raton, FL

Past

February 20, 2023 - August 10, 2023

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

June 13, 2022 - June 22, 2022

IFP SECURITIES, LLC

CRD#: 297287

TAMPA, FL

Past

December 15, 2021 - February 18, 2022

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

December 15, 2021 - February 18, 2022

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

April 3, 2020 - April 30, 2020

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

FRANKLIN, WI

Past

July 24, 2019 - August 19, 2019

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 2, 2014 - August 7, 2017

BNY MELLON CAPITAL MARKETS, LLC

CRD#: 17454

LAKE MARY, FL

Past

April 1, 2010 - May 17, 2019

PERSHING LLC

CRD#: 7560

LAKE MARY, FL

Past

May 21, 2009 - July 21, 2009

BROAD STREET SECURITIES, INC.

CRD#: 36101

PLANTATION, FL

Past

July 24, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALM BEACH, FL

Past

July 1, 2008 - February 12, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALM BEACH, FL

Past

July 5, 2007 - March 31, 2008

1ST DISCOUNT BROKERAGE, INC.

CRD#: 39164

WEST PALM BEACH, FL

Past

May 19, 2005 - May 29, 2007

ROBERT G. PEARS & CO., INC.

CRD#: 32215

NEW YORK, NY

Past

April 29, 2002 - May 3, 2005

DAG SECURITIES INC.

CRD#: 44376

NEW YORK, NY

Past

February 20, 2002 - April 30, 2002

STUART FRANKEL & CO., INCORPORATED

CRD#: 14593

GREAT NECK, NY

Past

October 1, 2000 - February 22, 2002

ROBERT G. PEARS & CO., INC.

CRD#: 32215

NEW YORK, NY

Past

April 26, 1995 - February 3, 1998

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

May 24, 1994 - April 17, 1995

FIRST OPTIONS OF CHICAGO, INC.

CRD#: 13822

CHICAGO, IL

Past

January 1, 1994 - May 4, 1994

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/4/2025)

Alaska
(7/4/2025)

Arizona
(7/4/2025)

Arkansas
(7/4/2025)

California
(7/4/2025)

Colorado
(7/4/2025)

Connecticut
(7/4/2025)

Delaware
(7/4/2025)

District of Columbia
(7/4/2025)

Florida
(7/4/2025)

Georgia
(7/4/2025)

Hawaii
(7/4/2025)

Idaho
(7/4/2025)

Illinois
(7/4/2025)

Indiana
(7/4/2025)

Iowa
(7/4/2025)

Kansas
(7/4/2025)

Kentucky
(7/4/2025)

Louisiana
(7/4/2025)

Maine
(7/4/2025)

Maryland
(7/4/2025)

Massachusetts
(7/4/2025)

Michigan
(7/4/2025)

Minnesota
(7/4/2025)

Mississippi
(7/4/2025)

Missouri
(7/4/2025)

Montana
(7/4/2025)

Nebraska
(7/4/2025)

Nevada
(7/4/2025)

New Hampshire
(7/4/2025)

New Jersey
(7/4/2025)

New Mexico
(7/4/2025)

New York
(7/4/2025)

North Carolina
(7/4/2025)

North Dakota
(7/4/2025)

Ohio
(7/7/2025)

Oklahoma
(7/4/2025)

Oregon
(7/4/2025)

Pennsylvania
(7/4/2025)

Puerto Rico
(7/4/2025)

Rhode Island
(7/4/2025)

South Carolina
(7/4/2025)

South Dakota
(7/4/2025)

Tennessee
(7/4/2025)

Texas
(7/4/2025)

Utah
(7/4/2025)

Vermont
(7/4/2025)

Virginia
(7/4/2025)

Washington
(7/4/2025)

West Virginia
(7/4/2025)

Wisconsin
(7/4/2025)

Wyoming
(7/4/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 3/27/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/29/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/20/2025

National Commodity Futures Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 9/11/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 10/4/2002

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 12/27/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/10/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/11/2007

General Securities Principal Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

TRADESTATION SECURITIES, INC.

CRD#: 39473 / SEC#: , 8-48711

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Mailing Address

8050 Sw 10th Street Suite 2000, Plantation, FL 33324

Phone number

(954) 652-7900

Established

Florida since 09/07/1995

Firm type

Corporation

Fiscal year end

March

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TRADESTATION GROUP, INC.	OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELL	PRINCIPAL OPERATIONS OFFICER	2363046
KOROTKIY, PETER	PRESIDENT & CHIEF OPERATING OFFICER	2706102
MORMILE-WOLPER, MYRA CHRISTINE	GENERAL COUNSEL AND ASSISTANT SECRETARY	6753154
ROJEK, JAMES H	CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER	3096214
WALTON, HERBERT	CHIEF COMPLIANCE OFFICER	4030847

Disclosures

Regulatory Event	28
Arbitration	4

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Leeming

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael John Leeming's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUND INCOME STRATEGIES, LLC

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

IFP SECURITIES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RAYMOND JAMES & ASSOCIATES, INC.

BNY MELLON CAPITAL MARKETS, LLC

PERSHING LLC

BROAD STREET SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

1ST DISCOUNT BROKERAGE, INC.

ROBERT G. PEARS & CO., INC.

DAG SECURITIES INC.

STUART FRANKEL & CO., INCORPORATED

ROBERT G. PEARS & CO., INC.

COWEN SECURITIES LLC

FIRST OPTIONS OF CHICAGO, INC.

LABRANCHE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2021

Series 63

Date: 7/29/2006

Series 3

Date: 9/20/2025

Series 6TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 9/11/2010

Series 25

Date: 10/4/2002

Series 7

Date: 12/27/1993

Series 4

Date: 7/10/2010

Series 24

Date: 9/11/2007

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq BX, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

TRADESTATION SECURITIES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers