Leonard D. Neeley
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 Daniel Neeley, who also goes by Daniel Neeley, Leonard Daniel Neeley, was a registered financial professional .
Leonard is a previously registered financial professional and started their career in finance in 2015. Leonard had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2024 - July 29, 2025
EMPOWER ADVISORY GROUP, LLC
March 26, 2024 - July 29, 2025
EMPOWER FINANCIAL SERVICES, INC.
January 27, 2022 - March 19, 2024
CHARLES SCHWAB & CO., INC.
January 26, 2022 - March 19, 2024
CHARLES SCHWAB & CO., INC.
June 18, 2019 - October 14, 2022
TD AMERITRADE, INC.
June 18, 2019 - September 7, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 18, 2019 - March 19, 2024
TD AMERITRADE, INC.
July 13, 2018 - June 3, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 30, 2018 - July 13, 2018
STRATEGIC ADVISERS LLC
March 16, 2018 - May 30, 2019
FIDELITY BROKERAGE SERVICES LLC
August 8, 2017 - February 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2017 - February 27, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2015 - June 27, 2017
STRATEGIC ADVISERS LLC
April 13, 2015 - June 27, 2017
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
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
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
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.
