Scott K. Leak
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.
Scott Kenneth Leak, CFP® was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 2005. Scott had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2006 - December 10, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 19, 2006 - July 20, 2021
TD AMERITRADE, INC.
January 27, 2006 - July 20, 2021
TD AMERITRADE, INC.
November 15, 2005 - January 31, 2006
TD AMERITRADE CLEARING, INC.
May 27, 2005 - January 31, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, 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
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
