Joseph Albert Leo
Professional Summary
Joseph Albert Leo, who also goes by Joe Albert Leo, is a registered financial advisor currently at QUARTZ PARTNERS INVESTMENT MANAGEMENT located in Utica, New York and ETICO PARTNERS, LLC located in New Hartford, New York. Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Albert Leo
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
ADAPTINVESTING | QUARTZ PARTNERS, LLC | QUARTZ PARTNERS RETIREMENT PLAN SERVICES | QUARTZ PARTNERS INVESTMENT MANAGEMENT | QUARTZ PARTNERS | NTXGEN ADVISORS | MOSS BLUFF MANAGEMENT | FLORENCE WEALTH | ETICO PRIVATE WEALTH | ETICO | CAPITALISTPIG, LLC | CAMERON HARROD WEALTH MANAGEMENT
Contact Information
Main Address
85 Railroad Place Suite 101a, Saratoga Springs, NY 12866Phone Number
(800) 433-0422# of Employees
26SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
1,277AUM (Assets Under Management)
$611,945,874Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
ADAPTINVESTING | QUARTZ PARTNERS, LLC | QUARTZ PARTNERS RETIREMENT PLAN SERVICES | QUARTZ PARTNERS INVESTMENT MANAGEMENT | QUARTZ PARTNERS | NTXGEN ADVISORS | MOSS BLUFF MANAGEMENT | FLORENCE WEALTH | ETICO PRIVATE WEALTH | ETICO | CAPITALISTPIG, LLC | CAMERON HARROD WEALTH MANAGEMENT
State Registrations and Notice Filings
(10/12/2018)
(2/6/2018)
(10/12/2018)
(1/30/2018)
(1/30/2018)
(1/2/2019)
(1/30/2018)
(6/1/2023)
(11/30/2018)
(5/22/2025)
(5/22/2023)
(10/12/2018)
(1/30/2018)
(1/30/2018)
(5/1/2023)
(5/27/2025)
(5/27/2025)
(1/30/2018)
(6/17/2025)
(2/6/2018)
(2/15/2018)
(2/6/2018)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Joseph Albert Leo's CRS (Customer Relationship Summary).
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