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KL

Katherine E. Leo

Some features on this profile are disabled
CRD#: 4822804
KL

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.

Katherine Elizabeth Leo, who also goes by Katherine Elizabeth Fornal, Katherine E Leo Miss, Katherine E Leo, was a registered financial professional .

Katherine is a previously registered financial professional and started their career in finance in 2004. Katherine had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Katherine Elizabeth Fornal | Katherine E Leo Miss | Katherine E Leo

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)

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

February 18, 2013 - September 3, 2015

BROWN ADVISORY SECURITIES, LLC

BD
CRD#: 120736
BALTIMORE, MD
Past

January 23, 2013 - September 3, 2015

BROWN ADVISORY

RIA
CRD#: 110181
BALTIMORE, MD
Past

August 29, 2008 - February 29, 2012

EATON VANCE MANAGEMENT

RIA
CRD#: 104859
BOSTON, MA
Past

May 8, 2006 - February 29, 2012

EATON VANCE DISTRIBUTORS, INC.

BD
CRD#: 37731
BOSTON, MA
Past

July 23, 2004 - May 9, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/27/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/13/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/3/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/23/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/22/2004
Investment Company Products/Variable Contracts Representative Examination

Current Firm

BA
BROWN ADVISORY SECURITIES, LLC
BROWN ADVISORY SECURITIES, LLC | BROWNIA SECURITIES, LLC

CRD#: 120736 / SEC#: 801-61427, 8-65342

BD
Terminated by SEC on 01/13/2023
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Contact information

Main Address
901 South Bond Street Suite 400, Baltimore, MD 21231-3340
Mailing Address
Phone number
(410) 537-5400
Established
Maryland since 02/19/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
10

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

BROWN ADVISORY SECURITIES, LLC WRAP PROGRAM BROCHURE (3/30/2022)

Direct owners and executive officers

NamePositionCRD#
BROWN ADVISORY MANAGEMENT, LLCHOLDING COMPANY/MANAGING MEMBER
CHURCHILL, DAVID MICHAELCHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER2094155
KRASKA, KEVIN KARLDESIGNATED PRINCIPAL1617788
ROGERS, BRETT DAVIDGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4641164

Regulatory assets under management

Total Number of Accounts393
AUM (Assets Under Management)$ 392,032,102

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2022
Cover Page
Report
11/24/2021
Cover Page
Report

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.

Company Information

BROWN ADVISORY SECURITIES, LLC

CRD#: 120736

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