Leah A. Clancy
Professional summary
Leah Autumn Clancy, who also goes by Autumn Clancy, Leah Clancy, Autumn Nichols, is a registered financial professional currently at CETERA ADVISORS LLC located in Scottsdale, Arizona.
Leah is registered as a RR (Registered Representative) and started their career in finance in 2008. Leah has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leah Autumn Clancy's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2025 - Present
CETERA ADVISORS LLC
Office #1: 7025 N Scottsdale Rd Ste 115 & 110, Scottsdale, AZ 85253May 4, 2023 - December 18, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 3, 2023 - December 18, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 17, 2019 - March 14, 2023
ASSETMARK, INC.
September 16, 2019 - March 14, 2023
ASSETMARK BROKERAGE, LLC
January 24, 2018 - March 5, 2019
LPL FINANCIAL LLC
January 23, 2018 - March 5, 2019
LPL FINANCIAL LLC
April 2, 2013 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
January 24, 2013 - April 3, 2013
USAA INVESTMENT SERVICES COMPANY
January 8, 2013 - January 8, 2018
USAA FINANCIAL ADVISORS, INC.
September 2, 2009 - November 1, 2011
WFG ADVISORS, LP
August 21, 2009 - November 1, 2011
WFG INVESTMENTS, INC.
September 30, 2008 - August 24, 2009
ASSOCIATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2025)
Exams
FINRA
Current Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
Red Flags
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