JL
Joseph A. Leo
QUARTZ PARTNERS INVESTMENT MANAGEMENT
Utica, NY 13502
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CRD#: 4988004
JL
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 Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Albert 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.
- Pathfinder Village Board of Trustees
- Yes investment related
- 6 Chenango Dr Edmeston, NY
- Philanthropic
- Treasurer/Chair of the investment committee
- 01/01/2012
- 1hr/mo
- 1hr/mo during trading hrs
- Philanthropic role w/local 501(c)3 organization
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Albert Leo'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®
NoneExperience
Current
May 1, 2023 - Present
QUARTZ PARTNERS INVESTMENT MANAGEMENT
Office #1: 258 Genesee St Suite #506, Utica, NY 13502RIA
CRD#: 174327
Utica, NY
Current
January 29, 2018 - Present
ETICO PARTNERS, LLC
Office #1: 600 French Road North Building Suite 200, New Hartford, NY 13413Office #2: 258 Genesee St Suite #506, Utica, NY 13502Office #3: 19 Railroad Pl, Ste 202, Saratoga Springs, NY 12866BD
CRD#: 122481
New Hartford, NY
Past
May 31, 2021 - December 31, 2023
ETICO WEALTH MANAGEMENT LLC
RIA
CRD#: 151046
UTICA, NY
Past
January 23, 2020 - May 5, 2020
D. BORAL CAPITAL
BD
CRD#: 103792
NEW YORK, NY
Past
January 4, 2010 - January 8, 2018
DINOSAUR FINANCIAL GROUP, L.L.C
BD
CRD#: 104446
NEW YORK, NY
Past
July 7, 2005 - December 31, 2009
MCGINN, SMITH & CO., INC.
BD
CRD#: 8453
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".
QP
QUARTZ PARTNERS INVESTMENT MANAGEMENT
ADAPTINVESTING | QUARTZ PARTNERS, LLC | QUARTZ PARTNERS RETIREMENT PLAN SERVICES | QUARTZ PARTNERS INVESTMENT MANAGEMENT | QUARTZ PARTNERS | MOSS BLUFF MANAGEMENT | FLORENCE WEALTH | ETICO PRIVATE WEALTH | ETICO | CAMERON HARROD WEALTH MANAGEMENT
CRD#: 174327 / SEC#: 801-80822
RIA
Registered Investment Advisory firm - (1/20/2015 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/12/2018)
RR
California(2/6/2018)
RR
Colorado(10/12/2018)
RR
Connecticut(1/30/2018)
RR
Florida(1/30/2018)
RR
Georgia(1/2/2019)
RR
Indiana(1/30/2018)
RR
Kansas(6/1/2023)
RR
Maine(11/30/2018)
RR
Mississippi(5/22/2025)
RR
Nevada(5/22/2023)
RR
New Jersey(10/12/2018)
RR
New Mexico(1/30/2018)
RR
New York(1/30/2018)
IAR
New York(5/1/2023)
RR
North Carolina(5/27/2025)
RR
Oklahoma(5/27/2025)
RR
Pennsylvania(1/30/2018)
RR
South Carolina(6/17/2025)
RR
Texas(2/6/2018)
RR
Vermont(2/15/2018)
RR
Virginia(2/6/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
QP
QUARTZ PARTNERS INVESTMENT MANAGEMENT
ADAPTINVESTING | QUARTZ PARTNERS, LLC | QUARTZ PARTNERS RETIREMENT PLAN SERVICES | QUARTZ PARTNERS INVESTMENT MANAGEMENT | QUARTZ PARTNERS | MOSS BLUFF MANAGEMENT | FLORENCE WEALTH | ETICO PRIVATE WEALTH | ETICO | CAMERON HARROD WEALTH MANAGEMENT
CRD#: 174327 / SEC#: 801-80822
RIA
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Contact information
Main Address
19 Railroad Place Suite 202, Saratoga Springs, NY 12866
Mailing Address
Phone number
(800) 433-0422
Established
Firm type
Fiscal year end
# of Employees
17
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,124 |
| AUM (Assets Under Management) | $ 281,034,901 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
