Leon J. Mckenzie
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.
Leon J. Mckenzie JR, who also goes by Leon J Mckenzie Jr, Leon Jerry Mckenzie Jr, Leon Jerry Mckenzie, Leon Mckenzie Jr, Leon Mckenzie Jr, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1995. Leon had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2019 - November 17, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 13, 2019 - May 19, 2021
MUTUAL OF AMERICA SECURITIES LLC
February 7, 2014 - November 14, 2019
CORPORATE INVESTMENTS GROUP, INC.
March 11, 2009 - February 28, 2012
MML INVESTORS SERVICES, LLC
December 20, 2007 - February 12, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2007 - September 19, 2007
VOYA FINANCIAL PARTNERS, LLC
June 7, 1999 - November 5, 2007
VALIC FINANCIAL ADVISORS, INC.
June 9, 1995 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
Primary Firm SEC Registration
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
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 6TO
Date: 3/13/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
CRD#: 15356 / SEC#: 801-21317, 8-32139
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LU, KATHRYN ANNE | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 5605579 |
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 335,621,798 |
Disclosures
| Regulatory Event | 2 |
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.
