Leonardo E. Porcella

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CRD#: 4409644

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.

Leonardo Enrique Porcella, who also goes by Leonardo E. Porcella, Leonardo Enrique Porcella, was a registered financial professional .

Leonardo is a previously registered financial professional and started their career in finance in 2001. Leonardo had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Leonardo E. Porcella | Leonardo Enrique Porcella

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.

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. CELLA and GALLO, LLC/Investment Related - No/8340 NW 66th St., Miami FL 33166/property amp; casualty Independent Insurance Agency though technically it could provide life insurance products, it does not engage in this activity. /Owner/01.2010/80/40/Manage relationships / operations and selling. TATICA TAH-TEE-KAH, LLC/Investment Related - No/12459 NW 52nd CT/Utilizing the entity as a pass-through entity for the real estate sales (thru LoKation)related activities./Manager/02.2020/0/0/None

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 11, 2022 - December 18, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

WESTON, FL

Past

August 10, 2022 - December 18, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

WESTON, FL

Past

September 7, 2018 - March 22, 2022

PFS INVESTMENTS INC.

RIA

CRD#: 10111

CORAL SPRINGS, FL

Past

July 6, 2018 - July 19, 2018

PFS INVESTMENTS INC.

RIA

CRD#: 10111

CORAL SPRINGS, FL

Past

July 5, 2018 - March 22, 2022

PFS INVESTMENTS INC.

CRD#: 10111

CORAL SPRINGS, FL

Past

October 27, 2014 - July 15, 2016

HSBC SECURITIES (USA) INC.

RIA

CRD#: 19585

MIAMI, FL

Past

October 20, 2014 - July 15, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

MIAMI, FL

Past

October 21, 2011 - October 22, 2014

PFS INVESTMENTS INC.

RIA

CRD#: 10111

MIAMI LAKES, FL

Past

September 20, 2011 - October 22, 2014

PFS INVESTMENTS INC.

CRD#: 10111

MIAMI LAKES, FL

Past

May 2, 2009 - October 6, 2009

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

MIAMI, FL

Past

May 2, 2009 - October 6, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

MIAMI, FL

Past

October 24, 2008 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

MIAMI, FL

Past

October 17, 2008 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

MIAMI, FL

Past

February 8, 2008 - June 19, 2008

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

CORAL GABLES, FL

Past

January 22, 2008 - June 19, 2008

AMERANT INVESTMENTS, INC.

CRD#: 117284

CORAL GABLES, FL

Past

May 14, 2004 - August 23, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MIAMI, FL

Past

May 5, 2004 - August 23, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MIAMI, FL

Past

July 1, 2003 - March 2, 2004

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

July 20, 2001 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 4/1/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2001

General Securities Representative Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

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Contact information

Main Address

Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102

Mailing Address

6400 C St Sw, Cedar Rapids, IA 52499-0001

Phone number

(727) 299-1800

Established

Delaware since 12/28/1984

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,054

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

Regulatory assets under management

Total Number of Accounts	42,440
AUM (Assets Under Management)	$ 1,730,669,809

Disclosures

Regulatory Event	19
Arbitration	3
Bond	3

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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Advisor Monitoring

Firm Stability Insights

Leonardo E. Porcella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

HSBC SECURITIES (USA) INC.

HSBC SECURITIES (USA) INC.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

AMERANT INVESTMENTS, INC.

AMERANT INVESTMENTS, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/2003

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2001

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

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