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ML

Michael W. Leong

SIKICH CORPORATE FINANCE LLC
NAPERVILLE, IL 60563
Some features on this profile are disabled
CRD#: 5772675
ML

Professional summary

Michael W Leong is a registered financial professional currently at SIKICH CORPORATE FINANCE LLC located in Naperville, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Michael W Leong'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

October 9, 2024 - Present

SIKICH CORPORATE FINANCE LLC

Office #1: 1415 W. Diehl Rd., Suite 400, Naperville, IL 60563
BD
CRD#: 149024
NAPERVILLE, IL
Past

May 23, 2018 - September 12, 2022

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CHICAGO, IL
Past

April 15, 2010 - December 20, 2017

PNC CAPITAL MARKETS LLC

BD
CRD#: 15647
CHICAGO, IL

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
Illinois
(11/7/2024)
RR
Wisconsin
(11/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/2/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/14/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SC
SIKICH CORPORATE FINANCE LLC
SIKICH CORPORATE FINANCE LLC

CRD#: 149024 / SEC#: , 8-68096

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

Main Address
1415 W. Diehl Rd., Suite 400, Naperville, IL 60563
Mailing Address
1415 W. Diehl Rd., Suite 400, Naperville, IL 60563
Phone number
(630) 566-8400
Established
Delaware since 10/15/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 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#
SIKICH LLCPARENT COMPANY
HERBST, RICHARD ALANCEO, CTO, CFO5781183
RUSTAD, STEPHANIE THERESEFINOP2327465
STARK, BARRY CRAIGCCO, AMLCO, POO2704020

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

SIKICH CORPORATE FINANCE LLC

CRD#: 149024Naperville, IL 60563

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