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JL

John M. Leonard

PERSHING LLC
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 6244955
JL

Professional summary

John Mitchell Leonard, who also goes by John M Leonard, is a registered financial professional currently at PERSHING LLC located in Oakbrook Terrace, Illinois and PERSHING ADVISOR SOLUTIONS LLC located in Oakbrook Terrace, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2013. John has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

John M Leonard

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 John Mitchell Leonard'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

April 13, 2016 - Present

PERSHING LLC

Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181
BD
CRD#: 7560
Oakbrook Terrace, IL
Current

June 3, 2022 - Present

PERSHING ADVISOR SOLUTIONS LLC

Office #1: Two Mid America Plaza 10th Floor, Oakbrook Terrace, IL, 60181
BD
CRD#: 36671
Oakbrook Terrace, IL
Past

September 26, 2013 - April 8, 2016

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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
Pennsylvania
(4/13/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/8/2013
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 6
Date: 9/26/2013
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PERSHING ADVISOR SOLUTIONS LLC
PERSHING ADVISOR SOLUTIONS LLC | PERSHING TRADING COMPANY, L.P.

CRD#: 36671 / SEC#: , 8-47425

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

Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 09/08/2005
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#
PAS HOLDINGS LLCHOLDING COMPANY
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONPRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
HARRISON, BENJAMIN WARDBOARD MEMBER, HEAD OF THE BUSINESS3121159
KEARNEY, JAMES FRANCIS IIICHIEF RISK OFFICER (CRO)6388373
LOFLING, JASON ROBERTBOARD MEMBER5177277
MUTTERER, FRANK PAULCHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)2088419
WEISS, NINA KATECHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER2642331

Disclosures

Regulatory Event17

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

PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671Oakbrook Terrace, IL 60181

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