Aaron P. Leopold
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.
Aaron Paul Leopold was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1999. Aaron had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 15, 2018 - July 30, 2021
LPL FINANCIAL LLC
February 14, 2018 - July 30, 2021
LPL FINANCIAL LLC
October 5, 2017 - February 15, 2018
INVEST FINANCIAL CORPORATION
May 31, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
July 9, 2012 - May 19, 2016
HANCOCK WHITNEY INVESTMENT SERVICES INC.
October 11, 2011 - July 12, 2012
PARK AVENUE SECURITIES LLC
March 25, 2011 - May 10, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 2010 - February 25, 2011
MORGAN KEEGAN & COMPANY, LLC
April 27, 2009 - September 2, 2009
SIGNATOR INVESTORS, INC.
December 15, 2008 - April 17, 2009
FIFTH THIRD SECURITIES, INC.
February 13, 2007 - November 25, 2008
AMCORE INVESTMENT SERVICES, INC
July 26, 1999 - July 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 16, 1999 - July 6, 2006
IDS LIFE INSURANCE COMPANY
July 16, 1999 - July 6, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 1999 - July 7, 1999
METROPOLITAN LIFE INSURANCE COMPANY
May 12, 1999 - July 7, 1999
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| MORNINGSTAR, MATTHEW EDWIN | CHIEF LEGAL OFFICER | 2510742 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 214 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
