Andrew M. Leone

MILLENNIUM ADVISORS

Charlotte, NC 28277

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CRD#: 4057835

Professional summary

Andrew Marc Leone is a registered financial professional currently at MILLENNIUM ADVISORS, LLC located in Charlotte, North Carolina.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1999. Andrew has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Andrew Marc Leone's CRS (Customer Relationship Summary).

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

Current

May 7, 2024 - Present

MILLENNIUM ADVISORS, LLC

Office #1: 11605 N Community House Dr Suite 550, Charlotte, NC 28277

CRD#: 151236

Charlotte, NC

Past

September 17, 2021 - May 7, 2024

SOUTH STREET SECURITIES LLC

CRD#: 125202

NEW YORK, NY

Past

March 7, 2011 - July 8, 2021

MUFG SECURITIES AMERICAS INC.

CRD#: 19685

NEW YORK, NY

Past

July 27, 2010 - February 23, 2011

MYD MARKET, INC

CRD#: 29019

NEW YORK, NY

Past

June 30, 2009 - July 9, 2010

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

November 9, 1999 - August 11, 2004

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

North Carolina
(7/29/2024)

Exams

State Security Law Exam

Series 63

Date: 5/21/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/27/2011

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/25/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/2015

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MILLENNIUM ADVISORS, LLC

CRD#: 151236 / SEC#: , 8-68349

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

11605 N Community House Dr Suite 550, Charlotte, NC 28277

Mailing Address

11605 N Community House Dr. Suite 550, Charlotte, NC 28277

Phone number

(980) 213-2300

Established

North Carolina since 06/29/2009

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MILLENNIUM CONSOLIDATED HOLDINGS LLC	OWNER
BROWN, DOUGLAS BENEDICT	CCO, AML SUPERVISOR	5063686
CHAPPELLE, DAVID WALTER	MEMBER, GENERAL PRINCIPAL
DEMODNA, JOSEPH CHARLES	PRINCIPAL OPERATIONS OFFICER	5156407
HEALY, MICHAEL GEORGE	CHIEF EXECUTIVE OFFICER	3011582
LEE, CHRISTY ROSS	CFO, FINOP, PRINCIPAL FINANCIAL OFFICER	4926666

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Andrew M. Leone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Marc Leone's CRS (Customer Relationship Summary).

Certified licenses

Experience

SOUTH STREET SECURITIES LLC

MUFG SECURITIES AMERICAS INC.

MYD MARKET, INC

PERSHING LLC

NOMURA SECURITIES INTERNATIONAL, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/21/2010

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 5/27/2011

Series 7

Date: 9/25/2009

Series 24

Date: 4/16/2015

FINRA

Current Firm

MILLENNIUM ADVISORS, LLC

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MILLENNIUM ADVISORS, LLC

TRUST BUT VERIFY

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