Caprice E. Leinonen

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CRD#: 5887726

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.

Caprice Elizabeth Leinonen, who also goes by Caprice Elizabeth Myers, Caprice Elizabeth Sucoe, was a registered financial professional .

Caprice is a previously registered financial professional and started their career in finance in 2011. Caprice had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Caprice Elizabeth Myers | Caprice Elizabeth Sucoe

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)

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

June 20, 2015 - June 28, 2016

PRIVATE ADVISORY

RIA

CRD#: 170043

REDMOND, WA

Past

October 17, 2014 - January 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

MERCER ISLAND, WA

Past

October 17, 2014 - January 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MERCER ISLAND, WA

Past

April 12, 2011 - October 20, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, WA

Past

March 22, 2011 - October 20, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRIVATE ADVISORY

PRIVATE ADVISORY | PRIVATE ADVISORY GROUP LLC

CRD#: 170043 / SEC#: 801-79100

RIA

Registered Investment Advisory firm - (1/24/2014 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/11/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 1/9/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/21/2011

General Securities Representative Examination

Current Firm

PRIVATE ADVISORY

PRIVATE ADVISORY | PRIVATE ADVISORY GROUP LLC

CRD#: 170043 / SEC#: 801-79100

RIA

Registered Investment Advisory firm - (1/24/2014 Approved)

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Contact information

Main Address

16880 Ne 79th Street, Redmond, WA 98052

Mailing Address

Phone number

(425) 498-2320

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRIVATE ADVISORY GROUP ADV 2A MARCH 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	2,166
AUM (Assets Under Management)	$ 1,316,456,660

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/23/2025	Cover Page	Report

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.

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Caprice E. Leinonen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

PRIVATE ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 4/11/2011

SIE

Date: 1/9/2015

Series 7

Date: 3/21/2011

Current Firm

PRIVATE ADVISORY

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRIVATE ADVISORY

TRUST BUT VERIFY

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