Michael Warren Leopold
Professional Summary
Michael Warren Leopold is a registered financial advisor currently at HUNTLEIGH ADVISORS, INC. located in Belleville, Illinois and HUNTLEIGH SECURITIES CORPORATION located in Belleville, Illinois. Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1972. Michael has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
xxxxx@xxxx.xxx
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
54 years in the financial services industry
Current & Past Employments
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
Contact Information
Main Address
7800 Forsyth Blvd. 5th Floor, St. Louis, MO 63105Phone Number
(314) 236-2400# of Employees
55SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,838AUM (Assets Under Management)
$781,786,950Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
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.
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Primary Firm SEC Registration
HUNTLEIGH ADVISORS, INC. | THE HUNTLEIGH GROUP
State Registrations and Notice Filings
(9/7/2016)
(4/24/2002)
(8/25/2005)
(6/5/2019)
(8/25/2005)
(12/17/1986)
(6/9/2011)
(7/8/2022)
(11/9/2022)
(8/11/2000)
(12/23/1986)
(6/10/2011)
(3/13/2020)
(4/18/2019)
(3/13/2020)
(9/5/2019)
(4/15/2025)
(3/19/2001)
(4/3/2019)
(7/29/2013)
(9/5/2019)
(7/20/1998)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Feb 1972Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Nov 1982SRO Registrations
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - RIA
Click below to view Michael Warren Leopold's CRS (Customer Relationship Summary).
Similar Advisors
WELLS FARGO CLEARING SERVICES, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
