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LD

Leonel P. Darosa

Some features on this profile are disabled
CRD#: 5565978
LD

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Leonel Prince Darosa, who also goes by Leonel P Darosa, was a registered financial professional .

Leonel is a previously registered financial professional and started their career in finance in 2008. Leonel had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Leonel P Darosa

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.
SIA LLC POSITION: Associate Relationship Manager NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 165 SECURITIES TRADING HOURS: 110 START DATE: 01/06/2020 ADDRESS: 2121 Avenue of the Stars Suite 1600, Los Angeles CA 90067, United States DESCRIPTION: RIA Sales & Service

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 8, 2024 - July 29, 2025

SIGNATURE ESTATE SECURITIES, LLC

BD
CRD#: 18923
Los Angeles, CA
Past

January 9, 2020 - July 29, 2025

SIGNATURE INVESTMENT ADVISORS, LLC

RIA
CRD#: 160715
LOS ANGELES, CA
Past

January 8, 2020 - June 30, 2023

OSAIC WEALTH, INC.

BD
CRD#: 23131
LOS ANGELES, CA
Past

November 15, 2011 - September 10, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
PASADENA, CA
Past

October 4, 2011 - September 10, 2019

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
PASADENA, CA
Past

August 4, 2008 - July 29, 2011

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/8/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/7/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/1/2008
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SE
SIGNATURE ESTATE SECURITIES, LLC
SIGNATURE ESTATE SECURITIES, INC. | TRANSAM SECURITIES, INC. | SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923 / SEC#: , 8-37065

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

Main Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Mailing Address
2121 Avenue Of Stars Suite 1600, Los Angeles, CA 90067
Phone number
(310) 712-2323
Established
Delaware since 02/14/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
SEIA HOLDINGS LLC100% DIRECT OWNER SIGNATURE ESTATE SECURITIES LLC
MATRISIAN, MATTHEW JAMESPRESIDENT2507829
ROSEN, ERIC ZACHARYCHIEF COMPLIANCE OFFICER6181478
RUSSELL, SARAH DETLINGFINOP6727189

Disclosures

Regulatory Event2

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

SIGNATURE ESTATE SECURITIES, LLC

CRD#: 18923

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