Wayne O. Leevy
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.
Wayne O Leevy was a registered financial professional .
Wayne is a previously registered financial professional and started their career in finance in 2000. Wayne had worked at 5 firms and has passed the Series 66 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
December 3, 2012 - December 16, 2013
AVANTAX ADVISORY SERVICES
November 30, 2012 - December 16, 2013
AVANTAX INVESTMENT SERVICES, INC.
May 17, 2010 - October 18, 2012
CETERA WEALTH SERVICES, LLC
October 25, 2006 - April 15, 2010
VOYA FINANCIAL PARTNERS, LLC
October 25, 2006 - April 15, 2010
VOYA FINANCIAL PARTNERS, LLC
July 30, 2002 - October 18, 2006
EQUITABLE ADVISORS, LLC
January 28, 2000 - October 18, 2006
EQUITABLE ADVISORS, 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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
