Daniel P. Leavey
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.
Daniel Philip Leavey, who also goes by Daniel Philip Leavey, Daniel Leavey, Danny Leavey, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2020. Daniel had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2024 - December 5, 2024
ATLAS
June 3, 2022 - August 17, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
June 2, 2022 - August 17, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
October 15, 2020 - September 1, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 27, 2020 - September 1, 2021
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
ATLAS
CRD#: 324191 / SEC#: 801-128722
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
Series 7TO
Date: 7/27/2020
General Securities Representative ExaminationCurrent Firm
ATLAS
CRD#: 324191 / SEC#: 801-128722
Contact information
SEC notice filing (19 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 84 |
| AUM (Assets Under Management) | $ 121,329,112 |
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.
