Leonard H. Claus
Professional summary
Leonard Heinrich Claus, who also goes by Len Claus, is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas and CALTON & ASSOCIATES, INC. located in Houston, Texas.
Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Leonard has worked at 6 firms and has passed the Series 65, Series 63, Series 79TO, Series 99TO, Series 72, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Heinrich Claus's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2019 - Present
WESTPARK WEALTH ADVISORS, INC.
Office #1: 13111 Westheimer Rd. Suite 475, Houston, TX 77077November 10, 2017 - Present
CALTON & ASSOCIATES, INC.
Office #1: 13111 Westheimer Road Suite 475, Houston, TX 77077June 20, 2001 - November 9, 2017
IMS SECURITIES, INC.
March 17, 1995 - June 20, 2001
TRI-STAR FINANCIAL
January 3, 1994 - February 22, 1995
PHOENIX GOVERNMENT INVESTMENTS, INC.
July 1, 1993 - December 31, 1993
DESHLER-MORRIS SECURITIES, INC.
Primary Firm SEC Registration
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2019)
(2/25/2019)
(1/27/2022)
(4/5/2018)
(2/9/2022)
(6/24/2019)
(10/29/2018)
(4/5/2018)
(7/18/2019)
(4/5/2018)
(1/7/2026)
(11/10/2017)
(11/5/2019)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationFINRA
Current Firm
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
Red Flags
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