Leonard D. Finley

SAGE ADVISORY SERVICES LTD CO

Austin, TX 78735-6202

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CRD#: 4377292

Professional summary

Leonard Dustin Finley is a registered financial advisor currently at SAGE ADVISORY SERVICES LTD CO located in Austin, Texas.

Leonard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Leonard has worked at 3 firms and has passed the Series 63, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Leonard Dustin Finley's CRS (Customer Relationship Summary).

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

September 10, 2010 - Present

SAGE ADVISORY SERVICES LTD CO

Office #1: 5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

RIA

CRD#: 106236

Austin, TX

Past

July 8, 2004 - August 17, 2010

CONSULTING SERVICES GROUP, LLC

RIA

CRD#: 107048

MEMPHIS, TN

Past

November 12, 2001 - August 17, 2010

ENERECAP PARTNERS, LLC

CRD#: 26554

MEMPHIS, TN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(9/10/2010)

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.

Exams

State Security Law Exam

Series 63

Date: 1/30/2009

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 3/27/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 11/9/2001

General Securities Representative Examination

Current Firm

SAGE ADVISORY SERVICES LTD CO

CRD#: 106236 / SEC#: 801-52937

RIA

Registered Investment Advisory firm - (9/24/1996 Approved)

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Contact information

Main Address

5900 Southwest Parkway Building 1, Suite 100, Austin, TX 78735-6202

Mailing Address

Phone number

(512) 327-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGE ADVISORY SERVICES LTD. CO. (3/28/2025)

Regulatory assets under management

Total Number of Accounts	12,206
AUM (Assets Under Management)	$ 24,975,056,606

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.

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Leonard D. Finley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Dustin Finley's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGE ADVISORY SERVICES LTD CO

CONSULTING SERVICES GROUP, LLC

ENERECAP PARTNERS, LLC

Primary Firm SEC Registration

SAGE ADVISORY SERVICES LTD CO

State Registrations and Notice Filings

Exams

Series 63

Date: 1/30/2009

Series 66

Date: 3/27/2006

Series 7

Date: 11/9/2001

Current Firm

SAGE ADVISORY SERVICES LTD CO

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGE ADVISORY SERVICES LTD CO

TRUST BUT VERIFY

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