Leon W. Vaccarelli
Professional summary
Leon William Vaccarelli was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leon is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Leon had worked at 6 firms, which includes IC ADVISORY SERVICES INC., THE INVESTMENT CENTER INC., QA3 FINANCIAL LLC, QA3 FINANCIAL CORP., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2011 - August 4, 2017
IC ADVISORY SERVICES, INC.
February 14, 2011 - August 3, 2017
THE INVESTMENT CENTER, INC.
May 24, 2007 - February 11, 2011
QA3 FINANCIAL LLC
May 24, 2007 - February 11, 2011
QA3 FINANCIAL CORP.
October 27, 1999 - May 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 12, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 12, 1999 - May 24, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
Current Firm
IC ADVISORY SERVICES, INC.
CRD#: 140190 / SEC#: 801-66512
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,528 |
| AUM (Assets Under Management) | $ 2,056,415,877 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/02/2024 | ||
| 02/15/2024 | ||
| 01/10/2023 |
Red Flags
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