Leonard Pezza
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.
Leonard Pezza, who also goes by Leonard Pezza Jr, Leonard Pezza, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1993. Leonard had worked at 7 firms and has passed the Series 66, 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
September 6, 2016 - February 15, 2017
CUNA BROKERAGE SERVICES, INC.
September 6, 2016 - February 15, 2017
CUNA BROKERAGE SERVICES, INC.
July 11, 2016 - July 15, 2016
LPL FINANCIAL LLC
July 11, 2016 - July 15, 2016
LPL FINANCIAL LLC
May 28, 2013 - July 13, 2016
EDWARD JONES
May 28, 2013 - July 13, 2016
EDWARD JONES
November 23, 2011 - May 30, 2013
SECURIAN FINANCIAL SERVICES, INC.
November 18, 2011 - May 30, 2013
SECURIAN FINANCIAL SERVICES, INC.
February 27, 2004 - November 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
November 19, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 19, 2003 - November 8, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 1993 - November 11, 1994
CITISTREET EQUITIES LLC
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
