AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JL

Jeffrey C. Leo

Some features on this profile are disabled
CRD#: 2557553
JL

Professional summary

Jeffrey Christian Leo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jeffrey is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Jeffrey had worked at 7 firms, which includes SYNERGY INVESTMENT GROUP LLC, MOORS & CABOT FINANCIAL ADVISORS LLC, NATIONAL SECURITIES CORPORATION, JOSEPH GUNNAR & CO. LLC, UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., CIBC WORLD MARKETS CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey C Leo

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 2, 2007 - December 31, 2008

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
KEYPORT, NJ
Past

December 14, 2006 - September 14, 2007

MOORS & CABOT FINANCIAL ADVISORS, LLC

BD
CRD#: 132798
SEA GIRT, NJ
Past

July 7, 2005 - January 4, 2007

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

February 8, 2002 - June 17, 2005

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

November 2, 2000 - February 22, 2002

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

January 8, 1998 - October 25, 2000

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

July 13, 1995 - November 24, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 31
Date: 6/18/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/21/1995
General Securities Representative Examination

Current Firm

SI
SYNERGY INVESTMENT GROUP, LLC
A.D. VALLETT & CO. | WHITLEY FINANCIAL, LLC | W. RALEIGH SEXTON JR., INC. | TAX & RETIREMENT PLANNING | SYNERGY WEALTH MANAGEMENT | SYNERGY INVESTMENT GROUP, LLC | SYNERGY BUSINESS ADVISORS, LLC | SYNERGY ADVISORY GROUP | STRATEGIC INVESTMENT DESIGNS | SANDEFER MAYO, LLC | RETIREMENT BY DESIGN | PENN NORTH FINANCIAL SERVICES | OVERSON TAX ADVISORY, INC. | OVERSON ADVISORY GROUP | OLD TOWNE FINANCIAL MANAGEMENT, INC. | OKLAHOMA FINANCIAL GROUP | MCCULLEY & WILKINSON, INC. | LBS FINANCIAL SERVICES, LLC | JOHN M. BLUMBERG, CPA, PC | INA TAX ADVISORS, INC. | HULSEY FINANCIAL SERVICES | HANEY & ALEXANDER INVESTMENT MANAGEMENT | FOX & FIN AND LIPSKI SECURITIES | DON E. SMITH CO. | DEVON FINANCIAL GROUP, LTD | COMPASS WEALTH MANAGEMENT | CLOUT, INC. | CHARTER FINANCIAL GROUP | BUFFALO SHIELD FINANCIAL PLANNING | BRIDGEDAL CAPITAL MANAGEMENT | AVELLAR ADVISORS, INC. | ARRIBA INVESTMENT MANAGEMENT | ARRIBA INVESMENT & EXCHANGE CORPORATION | ADVANTAGE FINANCIAL SERVICES

CRD#: 46035 / SEC#: 801-68315, 8-51278

RIA
Registered Investment Advisory firm - SEC (11/28/2012 Terminated)
Arizona
Registered Investment Advisory firm - SEC (12/31/2012 Terminated)
Colorado
Registered Investment Advisory firm - SEC (11/23/2012 Approved)
Connecticut
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Georgia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Indiana
Registered Investment Advisory firm - SEC (11/13/2007 Terminated)
Maryland
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Nevada
Registered Investment Advisory firm - SEC (12/17/2007 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/1/2010 Terminated)
North Carolina
Registered Investment Advisory firm - SEC (7/1/2012 Approved)
Ohio
Registered Investment Advisory firm - SEC (12/31/2013 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (7/13/2012 Approved)
Tennessee
Registered Investment Advisory firm - SEC (12/9/2007 Terminated)
Virginia
Registered Investment Advisory firm - SEC (11/9/2007 Terminated)
Wyoming
Registered Investment Advisory firm - SEC (12/6/2017 Terminated)
BD
Terminated by SEC on 05/05/2012
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
708 Mclain Road, Kannapolis, NC 28083
Mailing Address
Phone number
(704) 295-6692
Established
North Carolina since 07/28/1998
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
6

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
SYNERGY HOLDING GROUPMEMBER
HAYES, JOSEPH PATRICKCHIEF COMPLIANCE OFFICER4289211
JONES, JEFFREY DEANPART OWNER4188324
VANHAMME, TRACY MFINOP5378592

Regulatory assets under management

Total Number of Accounts324
AUM (Assets Under Management)$ 53,106,235

Disclosures

Regulatory Event7
Arbitration2

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.

Company Information

SYNERGY INVESTMENT GROUP, LLC

CRD#: 46035

TRUST BUT VERIFY

Monitor Jeffrey Leo

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics