Leon J. Hassell
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 Jefferson Hassell, who also goes by Leon Jeff Hassell, was a registered financial professional .
Leon is a previously registered financial professional and started their career in finance in 1971. Leon had worked at 6 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - October 7, 2019
OVERRIDGE WEALTH ADVISORS
March 8, 1989 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
May 13, 1977 - February 1, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 7, 1976 - August 22, 1976
March 23, 1976 - December 31, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 1, 1971 - February 22, 1976
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
OVERRIDGE WEALTH ADVISORS
CRD#: 115009 / SEC#: 801-62355
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 1
Date: 3/25/1971
Registered Representative ExaminationCurrent Firm
OVERRIDGE WEALTH ADVISORS
CRD#: 115009 / SEC#: 801-62355
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 396 |
| AUM (Assets Under Management) | $ 238,178,154 |
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.
