Leonard A. Yerkes
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.
Leonard A Yerkes III, who also goes by Leonard A Yerkes, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 1968. Leonard had worked at 8 firms and has passed the Series 63, Series 65, Series 31, Series 000, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 2, 2000 - January 21, 2015
CANTERBURY CONSULTING INCORPORATED
December 21, 1999 - October 24, 2013
CANTERBURY CONSULTING INCORPORATED
October 27, 1992 - November 5, 1999
TCW FUNDS DISTRIBUTORS LLC
March 13, 1991 - November 2, 1992
HAKMAN & COMPANY, INCORPORATED
March 10, 1980 - January 27, 1990
SUTRO & CO. INCORPORATED
September 26, 1978 - March 25, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
June 11, 1971 - January 15, 1975
G. H. WALKER, LAIRD INCORPORATED
May 1, 1968 - June 11, 1971
G H WALKER & CO INC
Primary Firm SEC Registration
CANTERBURY CONSULTING INCORPORATED
CRD#: 22875 / SEC#: 801-34756, 8-39969
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
Series 000
Date: 7/24/1962
General Securities Principal ExaminationSeries 1
Date: 7/9/1962
Registered Representative ExaminationSeries 00
Date: 4/23/1968
General Securities Principal ExaminationCurrent Firm
CANTERBURY CONSULTING INCORPORATED
CRD#: 22875 / SEC#: 801-34756, 8-39969
Contact information
SEC notice filing (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLUCK, DONALD ROBINSON | CHAIRMAN | 863902 |
| LAVEN, MICHAEL SCOTT | MANAGING DIRECTOR | 1497898 |
| MONTGOMERY, JERRY DALE III | MANAGING DIRECTOR | 1874730 |
| BERWANGER, ADELE HUGHES | MANAGING DIRECTOR | 2068413 |
| KRUEGER, KENNETH PETER | DIRECTOR | 275918 |
| PAREKH, POORVI RAJEN | PRESIDENT & CHIEF EXECUTIVE OFFICER | |
| BATRES, TERESA | CHIEF FINANCIAL OFFICER; FINOP | 5481832 |
| CHOWDHURY, DEBASHIS | MANAGING DIRECTOR | 3146678 |
| GRATTEAU, AMY MICHELLE | DIRECTOR OF MARKETING | 2986612 |
| JETT, AARON DAVIS | SENIOR RESEARCH ANALYST | 4102510 |
| KORNMANN, GREGORY BRYAN | MANAGER OF ANALYTICS | 4887512 |
| LEVEY, JASON E | VICE PRESIDENT | 4793252 |
| MITTMANN, MARK AUGUST | CHIEF COMPLIANCE OFFICER (CCO); AML COMPLIANCE OFFICER (AMLCO) | 5080856 |
| MOORE, JENIFER ANN | SR. CLIENT SERVICE SPECIALIST | 4313109 |
| PEDERSON, JANELLE | MANAGER OF HUMAN RESOURCES AND ADMINSTRATION | |
| QUINN, RYAN MICHAEL | SENIOR RESEARCH ANALYST | 3179079 |
| SCHIELEIN, RYAN OTTO | SENIOR RESEACH ANALYST | 4445017 |
| WOOD, NOLAN C | VICE PRESIDENT | 3041549 |
| YERKES, LEONARD A III | MANAGING DIRECTOR |
Regulatory assets under management
| Total Number of Accounts | 4,276 |
| AUM (Assets Under Management) | $ 7,391,449,526 |
Disclosures
| Regulatory Event | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/28/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
