Leonardo S. Araujo
Professional summary
Leonardo S Araujo was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Leonardo is a previously registered financial professional and started their career in finance in 2009. Prior to being barred, Leonardo had worked at 3 firms, which includes TD AMERITRADE INVESTMENT MANAGEMENT LLC, TD AMERITRADE INC., EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 4, 2011 - February 25, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 8, 2011 - February 25, 2016
TD AMERITRADE, INC.
July 7, 2011 - February 25, 2016
TD AMERITRADE, INC.
February 19, 2009 - July 1, 2011
EDWARD JONES
February 10, 2009 - July 1, 2011
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
CRD#: 111514 / SEC#: 801-55501
Contact information
Regulatory assets under management
| Total Number of Accounts | 101,875 |
| AUM (Assets Under Management) | $ 15,827,987,428 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/17/2023 | ||
| 12/22/2021 |
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.
