DL
Denise E. Leddy
WEALTHSPIRE RETIREMENT ADVISORY
Charlotte, NC 28211
Some features on this profile are disabled
CRD#: 2381029
DL
Professional summary
Denise Eileen Leddy, AIF®, CFP® is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Charlotte, North Carolina.
Denise is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Denise has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Business Name: NFP Corporate Services (SE), Inc. Investment Related: Yes Address: 1901 Roxborough Rd Suite 300 Charlotte NC 28211 Nature of Business: Insurance; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Client manager. No active sales. Start Date: 8/25/2004 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Provide support to retirement plan advisors. No active sales. Kestra Investment Services, LLC; 5707 Southwest Parkway, Building 2, Suite 400, Austin, TX 78735; Investment-related; Position/Title: Non-Registered Access Person that does not have the authority to sell securities or receive customary securities commissions / Investment Advisory fees. Only administrative duties performed; Start of relationship: 03/2025; Approximate hours per month: 2 Business Name: SHE TRIS - RACE AMBASSADOR POSITION: Race Ambassador NATURE: Sports & Leisure - Race Curators INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 4 START DATE: 03/01/2024 ADDRESS: 1240 Winnowing Way, Mount Pleasant SC 29466, United States DESCRIPTION: Assist in building the event in the South Charlotte area to make it a cost effective and memorable experience for participants, volunteers and sponsors. The ambassador will work with the venues, sponsors, volunteers and participants in preparation and execution of the event. Responsibilities will also include maintaining a budget for the event including revenue from sponsors and race registrants to expenses for marketing, timing, security and race swag.
CRS (Client Relationship Summary) - RIA
Click below to view Denise Eileen Leddy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
April 5, 2024 - Present
WEALTHSPIRE RETIREMENT ADVISORY
Office #1: 1901 Roxborough Road Suite 300, Charlotte, NC 28211RIA
CRD#: 121254
Charlotte, NC
Past
April 20, 2016 - March 28, 2024
KESTRA ADVISORY SERVICES, LLC
RIA
CRD#: 283330
CHARLOTTE, NC
Past
November 5, 2004 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
CHARLOTTE, NC
Past
November 5, 2004 - March 28, 2024
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CHARLOTTE, NC
Past
November 6, 2001 - September 2, 2004
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHARLOTTE, NC
Past
October 23, 2001 - September 2, 2004
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
April 17, 1998 - October 22, 2001
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 17, 1998 - October 22, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 6, 1996 - November 25, 1997
SUMMIT EQUITIES, INC.
BD
CRD#: 11039
PARSIPPANY, NJ
Past
May 12, 1995 - January 26, 1996
FIRST BERMUDA SECURITIES LTD.
BD
CRD#: 29331
HAMILTON,
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
North Carolina(4/5/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WR
WEALTHSPIRE RETIREMENT ADVISORY
401 (K) ADVISORS | WEALTHSPIRE RETIREMENT, LLC | WEALTHSPIRE RETIREMENT ADVISORY | SST BENEFITS AND CONSULTING SERVICES LLC | NFP RETIREMENT INC. | NFP RETIREMENT | FIDUCIARYPATH | FIDUCIARY FIRST, LLC | ACCELERATE RETIREMENT | 403(B) ADVISORS | 401(K) INVESTMENT ADVISORS, INC. | 401(K) ADVISORS, INC. | 401(K) ADVISORS INC. | 401 (K) ADVISORS, INC.
CRD#: 121254 / SEC#: 801-66107
RIA
Registered Investment Advisory firm - (1/31/2006 Approved)California
Registered Investment Advisory firm - (2/9/2006 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
120 Vantis Suite 400, Aliso Viejo, CA 92656
Mailing Address
Phone number
(949) 460-9898
Established
Firm type
Fiscal year end
# of Employees
240
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,394 |
| AUM (Assets Under Management) | $ 118,031,461,765 |
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.
