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LR

Leo E. Rosenholz

WELLS FARGO SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5130342
LR

Professional summary

Leo E Rosenholz, who also goes by Leo Eduard Rosenholz, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in New York, New York.

Leo is registered as a RR (Registered Representative) and started their career in finance in 2008. Leo has worked at 6 firms and has passed the Series 66, Series 99TO, Series 22TO, Series 82TO, Series 52TO, Series 6TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leo Eduard Rosenholz

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 Leo E Rosenholz'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

November 22, 2022 - Present

WELLS FARGO SECURITIES, LLC

Office #1: 500 W 33rd St 30 Hudson Yards, New York, NY 10001
BD
CRD#: 126292
New York, NY
Past

March 31, 2021 - November 11, 2022

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
New York, NY
Past

September 30, 2016 - November 11, 2022

E*TRADE SECURITIES LLC

BD
CRD#: 29106
New York, NY
Past

February 12, 2014 - September 30, 2016

E*TRADE CLEARING LLC

BD
CRD#: 25025
Jersey City, NJ
Past

October 16, 2012 - December 16, 2013

INTERACTIVE BROKERS LLC

BD
CRD#: 36418
GREENWICH, CT
Past

June 20, 2008 - July 25, 2013

IBKR SECURITIES SERVICES LLC

BD
CRD#: 33319
GREENWICH, CT

State Registrations and Notice Filings

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

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
(11/22/2022)
RR
Alaska
(11/22/2022)
RR
Arizona
(11/22/2022)
RR
Arkansas
(11/22/2022)
RR
California
(11/22/2022)
RR
Colorado
(11/22/2022)
RR
Connecticut
(11/22/2022)
RR
Delaware
(11/22/2022)
RR
District of Columbia
(11/22/2022)
RR
Florida
(11/22/2022)
RR
Georgia
(11/22/2022)
RR
Hawaii
(11/22/2022)
RR
Idaho
(11/22/2022)
RR
Illinois
(11/22/2022)
RR
Indiana
(11/22/2022)
RR
Iowa
(11/22/2022)
RR
Kansas
(11/22/2022)
RR
Kentucky
(11/22/2022)
RR
Louisiana
(11/22/2022)
RR
Maine
(11/22/2022)
RR
Maryland
(11/22/2022)
RR
Massachusetts
(11/22/2022)
RR
Michigan
(11/22/2022)
RR
Minnesota
(11/22/2022)
RR
Mississippi
(11/22/2022)
RR
Missouri
(11/22/2022)
RR
Montana
(11/22/2022)
RR
Nebraska
(11/22/2022)
RR
Nevada
(11/22/2022)
RR
New Hampshire
(11/22/2022)
RR
New Jersey
(11/22/2022)
RR
New Mexico
(11/22/2022)
RR
New York
(11/22/2022)
RR
North Carolina
(11/22/2022)
RR
North Dakota
(11/22/2022)
RR
Ohio
(11/23/2022)
RR
Oklahoma
(11/22/2022)
RR
Oregon
(11/22/2022)
RR
Pennsylvania
(11/22/2022)
RR
Puerto Rico
(11/22/2022)
RR
Rhode Island
(11/22/2022)
RR
South Carolina
(11/22/2022)
RR
South Dakota
(11/22/2022)
RR
Tennessee
(11/22/2022)
RR
Texas
(11/22/2022)
RR
Utah
(11/22/2022)
RR
Vermont
(11/22/2022)
RR
Virgin Islands
(11/22/2022)
RR
Virginia
(11/22/2022)
RR
Washington
(11/22/2022)
RR
West Virginia
(11/22/2022)
RR
Wisconsin
(11/22/2022)
RR
Wyoming
(11/22/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/10/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/1/2024
General Securities Principal Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

WF
WELLS FARGO SECURITIES, LLC
WACHOVIA CAPITAL MARKETS, LLC | WELLS FARGO SECURITIES, LLC | WELLS FARGO SECURITIES | WELLS FARGO CORPORATE AND/& INVESTMENT BANKING | WACHOVIA CORPORATE & INVESTMENT BANKING, LLC

CRD#: 126292 / SEC#: , 8-65876

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
550 South Tryon Street 6th Floor D1086-060, Charlotte, NC, 28202
Mailing Address
1 N Jefferson Ave H0004-063, St. Louis, MO 63103
Phone number
(314) 875-3286
Established
Delaware since 03/05/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EVEREN CAPITAL CORPORATIONPARENT
CHESTER, KARA MCSHANEDIRECTOR/MANAGER2679854
CONNOR, TIMOTHY MICHAELPRINCIPAL FINANCIAL OFFICER8157713
MACCHIO, PETERCHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER2124187
OHARA, TIMOTHY PATRICKDIRECTOR/MANAGER2095368
PETERS, MARY LOUDIRECTOR/MANAGER/CONTROL PRINCIPAL4062788
RILEY, MICHAEL FRANCISDIRECTOR/MANAGER4165280
RIVAS, FERNANDO SCHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER4803269
SMITH, DANIEL DCHIEF OPERATIONS OFFICER5500659
THOMAS, DANIEL JEROME JRDIRECTOR/MANAGER

Disclosures

Regulatory Event158
Civil Event1

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

WELLS FARGO SECURITIES, LLC

CRD#: 126292New York, NY 10001

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