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LL

Luis R. Leon

Some features on this profile are disabled
CRD#: 2140002
LL

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.

Luis Ricardo Leon, who also goes by Luis Leon, was a registered financial professional .

Luis is a previously registered financial professional and started their career in finance in 1991. Luis had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luis Leon

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2018 - October 1, 2019

OAK HARVEST INVESTMENT SERVICES

RIA
CRD#: 173293
HOUSTON, TX
Past

March 6, 2017 - December 31, 2017

OAK HARVEST INVESTMENT SERVICES

RIA
CRD#: 173293
HOUSTON, TX
Past

January 25, 2013 - September 23, 2016

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
HOUSTON, TX
Past

December 5, 2012 - September 23, 2016

NYLIFE SECURITIES LLC

BD
CRD#: 5167
HOUSTON, TX
Past

January 3, 2011 - March 16, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
HOUSTON, TX
Past

January 3, 2011 - March 16, 2011

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
HOUSTON, TX
Past

January 31, 2006 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA
CRD#: 10582
HOUSTON, TX
Past

January 31, 2006 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

BD
CRD#: 10582
HOUSTON, TX
Past

June 30, 2003 - January 6, 2006

UBS INTERNATIONAL INC.

RIA
CRD#: 107726
HOUSTON, TX
Past

June 30, 2003 - January 6, 2006

UBS INTERNATIONAL INC.

BD
CRD#: 107726
NEW YORK, NY
Past

December 18, 2002 - July 11, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
HOUSTON, TX
Past

May 20, 2002 - July 11, 2003

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

March 2, 2001 - March 14, 2002

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 29, 1991 - March 4, 1993

INDEX SECURITIES, INC.

BD
CRD#: 19540

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA
Registered Investment Advisory firm - (5/22/2019 Approved)
Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/17/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/21/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/1/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 5/14/1991
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/5/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/5/2006
General Securities Sales Supervisor - Options Module Examination

Current Firm

OH
OAK HARVEST INVESTMENT SERVICES
OAK HARVEST FINANCIAL GROUP | OAK HARVEST INVESTMENT SERVICES, LLC | OAK HARVEST INVESTMENT SERVICES

CRD#: 173293 / SEC#: 801-116667

RIA
Registered Investment Advisory firm - (5/22/2019 Approved)
Texas
Registered Investment Advisory firm - (6/3/2019 Terminated)
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Contact information

Main Address
920 Memorial City Way Suite 150, Houston, TX 77024
Mailing Address
Phone number
(281) 822-1350
Established
Firm type
Fiscal year end
# of Employees
39

SEC notice filing (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A - OAK HARVEST INVESTMENT SERVICES (8/8/2025)

Regulatory assets under management

Total Number of Accounts2,633
AUM (Assets Under Management)$ 940,834,408

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.

Company Information

OAK HARVEST INVESTMENT SERVICES

CRD#: 173293

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