Roger A. Leonard

PTS BROKERAGE

Gibbsboro, NJ 08026

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CRD#: 5100631

Professional summary

Roger Alan Leonard JR. is a registered financial professional currently at PTS BROKERAGE, LLC located in Gibbsboro, New Jersey.

Roger is registered as a RR (Registered Representative) and started their career in finance in 2006. Roger has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Roger Alan Leonard JR.'s CRS (Customer Relationship Summary).

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

September 17, 2013 - Present

PTS BROKERAGE, LLC

Office #1: 200 Haddonfield-berlin Road Suite 301, Gibbsboro, NJ 08026

RIA

CRD#: 119307

Gibbsboro, NJ

Past

April 10, 2006 - June 21, 2013

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577

GIBBSBORO, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New Jersey
(9/17/2013)

Pennsylvania
(10/1/2020)

Exams

State Security Law Exam

Series 63

Date: 10/1/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/6/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PTS BROKERAGE, LLC

PROFESSIONAL TRADING SERVICES BROKERAGE, LLC | PTS BROKERAGE, LLC

CRD#: 119307 / SEC#: , 8-65173

Delaware

Registered Investment Advisory firm - SEC (2/22/2024 Approved)

Florida

Registered Investment Advisory firm - SEC (11/30/2011 Approved)

Maryland

Registered Investment Advisory firm - SEC (4/29/2024 Approved)

New Jersey

Registered Investment Advisory firm - SEC (6/25/2004 Approved)

New York

Registered Investment Advisory firm - SEC (9/26/2011 Approved)

North Carolina

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (8/25/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

125 Gaither Drive 125 C Gaither Dr, Mt. Laurel, NJ 08054

Mailing Address

125 Gaither Drive Suite C, Mount Laurel, NJ 08054-1706

Phone number

(856) 802-9400

Established

New Jersey since 10/09/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (17 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
SCHANK, BRAD WILLIAM	MEMBER, COO	5747196
SCHANK, JEREMY JOHN	MEMBER, CFO, CCO	5702254

Regulatory assets under management

Total Number of Accounts	460
AUM (Assets Under Management)	$ 106,900,000

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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Roger A. Leonard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Alan Leonard JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

PTS BROKERAGE, LLC

NETWORK 1 FINANCIAL SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/1/2020

SIE

Date: 10/1/2018

Series 6

Date: 4/6/2006

FINRA

Current Firm

PTS BROKERAGE, LLC

Contact information

FINRA licenses (17 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

PTS BROKERAGE, LLC

TRUST BUT VERIFY

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