Vincent J. Leon
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.
Vincent Jesus Leon, who also goes by VIcente Leon, Vinny Leon, was a registered financial professional .
Vincent is a previously registered financial professional and started their career in finance in 1993. Vincent had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 31 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2023 - March 27, 2026
VOYA INVESTMENT MANAGEMENT CO. LLC
April 27, 2023 - March 27, 2026
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 22, 2016 - December 7, 2022
THORNBURG INVESTMENT MANAGEMENT INC
June 30, 2016 - December 7, 2022
THORNBURG SECURITIES LLC
July 15, 2013 - April 4, 2016
EATON VANCE MANAGEMENT
July 11, 2013 - April 4, 2016
EATON VANCE DISTRIBUTORS, INC.
October 4, 2012 - March 1, 2013
3D ASSET MANAGEMENT, INC.
July 15, 2010 - April 4, 2012
FUNDS DISTRIBUTOR, LLC
February 27, 2008 - May 20, 2010
GE INVESTMENT DISTRIBUTORS, INC
December 19, 2005 - February 25, 2008
CLEARBRIDGE INVESTMENTS, LLC
December 1, 2005 - February 25, 2008
FRANKLIN DISTRIBUTORS, LLC
September 15, 2005 - December 19, 2005
CITIGROUP GLOBAL MARKETS INC.
November 21, 2000 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
January 26, 1993 - March 23, 1994
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
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
Current Firm
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
