Leonard A. Defino

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CRD#: 6055039

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.

Leonard Anthony Defino, who also goes by Len Anthony Defino, Leo Anthony Defino, was a registered financial professional .

Leonard is a previously registered financial professional and started their career in finance in 2014. Leonard had worked at 1 firm and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Len Anthony Defino | Leo Anthony Defino

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

April 22, 2014 - June 26, 2014

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

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".

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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

General Industry/Product Exam

Series 7

Date: 4/22/2014

General Securities Representative Examination

Current Firm

SAFEGUARD SECURITIES, INC.

ANCORA RETIREMENT PLAN ADVISORS INC. | SPECTRUM SECURITIES CORPORATION | SAFEGUARD SECURITIES, INC. | ARIS SECURITIES COMPANY | ANCORA RETIREMENT PLAN ADVISORS, LLC

CRD#: 31256 / SEC#: 801-67475, 8-45442

RIA

Registered Investment Advisory firm - SEC (1/19/2007 Approved)

Terminated by SEC on 10/29/2017

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Contact information

Main Address

6060 Parkland Suite 200, Cleveland, OH 44124

Mailing Address

Phone number

(216) 593-5090

Established

Pennsylvania since 06/22/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ANCORA RETIREMENT PLAN ADVISORS LLC 12.31.24 (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
SOURCE COMPANIES LLC	PARENT COMPANY
KUHR, DAVID WILLIAM	CCO, MUNICIPAL PRINCIPAL	2317114
MOONEY, PETER LAWRENCE	PRESIDENT, PRINCIPAL	2365429
ZUCKER, BRADLEY ALAN	FINOP	4458446

Regulatory assets under management

Total Number of Accounts	157
AUM (Assets Under Management)	$ 1,305,499,514

Disclosures

Regulatory Event

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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Leonard A. Defino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SAFEGUARD SECURITIES, INC.

Primary Firm SEC Registration

SAFEGUARD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 7

Date: 4/22/2014

Current Firm

SAFEGUARD SECURITIES, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SAFEGUARD SECURITIES, INC.

TRUST BUT VERIFY

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