Leonardo Walss

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

San Antonio, TX

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CRD#: 4958416

Professional summary

Leonardo Walss, who also goes by Leo Walss, is a registered financial advisor currently at VALLEY REGIONAL CAPITAL MANAGEMENT LLC located in San Antonio, Texas.

Leonardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Leonardo has worked at 3 firms and has passed the Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Leo Walss

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.

1. 01/2017- AVP AT TRANSPECOS BANK, SAN ANTONIO, TX; APPROXIMATELY 40 HOURS PER WEEK; NOT INVESTMENT RELATED 2. 04/2014- INVESTMENT ADVISOR REPRESENTATIVE AT VALLEY REGIONAL CAPITAL MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonardo Walss's 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

April 28, 2014 - Present

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

RIA

CRD#: 169706

San Antonio, TX

Past

August 23, 2017 - March 31, 2021

GAGNI WEALTH MANAGEMENT LLC

RIA

CRD#: 169527

SAN ANTONIO, TX

Past

September 7, 2005 - August 26, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

BROWNSVILLE, TX

Past

July 14, 2005 - August 26, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

BROWNSVILLE, TX

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
(4/28/2014)

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 65

Date: 9/21/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/3/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 7/13/2005

General Securities Representative Examination

Current Firm

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

VALLEY REGIONAL CAPITAL MANAGEMENT LLC | WALSS, LEONARDO

CRD#: 169706 / SEC#:

Texas

Registered Investment Advisory firm - (4/28/2014 Approved)

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Contact information

Main Address

Brownsville, TX

Mailing Address

Phone number

(956) 592-1170

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 1,354,949

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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Leonardo Walss

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonardo Walss's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

GAGNI WEALTH MANAGEMENT LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2013

Series 66

Date: 8/3/2005

Series 7

Date: 7/13/2005

Current Firm

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VALLEY REGIONAL CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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