JL
John A. Leon
VANGUARD MARKETING
Malvern, PA 19355
Some features on this profile are disabled
CRD#: 2177326
JL
Professional summary
John Andrew Leon is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
CRS (Client Relationship Summary) - BD
Click below to view John Andrew Leon's 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®
NoneExperience
Current
May 11, 2012 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355BD
CRD#: 7452
Malvern, PA
Past
January 3, 2012 - May 16, 2012
BLACKROCK INVESTMENTS, LLC
BD
CRD#: 38642
SAN FRANCISCO, CA
Past
November 6, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
BD
CRD#: 146183
SAN FRANCISCO, CA
Past
August 1, 2008 - May 16, 2012
BLACKROCK FUND ADVISORS
RIA
CRD#: 105247
SAN FRANCISCO, CA
Past
August 1, 2008 - December 31, 2009
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
SAN FRANCISCO, CA
Past
November 18, 2005 - June 24, 2008
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
Past
July 15, 2005 - August 10, 2005
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
September 21, 2000 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
November 6, 1998 - June 5, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
November 20, 1991 - June 26, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(5/11/2012)
RR
Alaska(5/11/2012)
RR
Arizona(5/11/2012)
RR
Arkansas(5/11/2012)
RR
California(5/11/2012)
RR
Colorado(5/11/2012)
RR
Connecticut(5/11/2012)
RR
Delaware(5/11/2012)
RR
District of Columbia(5/11/2012)
RR
Florida(5/11/2012)
RR
Georgia(5/11/2012)
RR
Hawaii(5/11/2012)
RR
Idaho(5/11/2012)
RR
Illinois(5/11/2012)
RR
Indiana(5/11/2012)
RR
Iowa(5/11/2012)
RR
Kansas(5/11/2012)
RR
Kentucky(5/11/2012)
RR
Louisiana(5/11/2012)
RR
Maine(5/11/2012)
RR
Maryland(5/11/2012)
RR
Massachusetts(5/11/2012)
RR
Michigan(5/11/2012)
RR
Minnesota(5/11/2012)
RR
Mississippi(5/11/2012)
RR
Missouri(5/11/2012)
RR
Montana(5/11/2012)
RR
Nebraska(5/11/2012)
RR
Nevada(5/11/2012)
RR
New Hampshire(5/11/2012)
RR
New Jersey(5/11/2012)
RR
New Mexico(5/11/2012)
RR
New York(5/11/2012)
RR
North Carolina(5/17/2012)
RR
North Dakota(5/11/2012)
RR
Ohio(5/11/2012)
RR
Oklahoma(5/11/2012)
RR
Oregon(5/11/2012)
RR
Pennsylvania(5/11/2012)
RR
Puerto Rico(5/11/2012)
RR
Rhode Island(5/11/2012)
RR
South Carolina(5/11/2012)
RR
South Dakota(5/11/2012)
RR
Tennessee(5/11/2012)
RR
Texas(5/11/2012)
RR
Utah(5/11/2012)
RR
Vermont(5/11/2012)
RR
Virgin Islands(5/11/2012)
RR
Virginia(5/11/2012)
RR
Washington(5/11/2012)
RR
West Virginia(5/11/2012)
RR
Wisconsin(5/11/2012)
RR
Wyoming(5/11/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VM
VANGUARD MARKETING CORPORATION
VANGUARD BROKERAGE SERVICES | VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
100 Vanguard Blvd, Malvern, PA 19355
Mailing Address
5951 Luckett Court Suite A1, El Paso, TX 79932-1882
Phone number
(610) 669-1000
Established
Pennsylvania since 04/21/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
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.
