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LG

Leo Joseph Govoni

CRD# 726213·Registered 1981 - 1995

Previously Registered: Being a previously registered professional could mean that Leo 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.

Professional Summary

Leo Joseph Govoni was a registered financial advisor. Leo was a previously registered financial professional and started their career in finance 1981 - 1995. Leo had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

45 years in the financial services industry

Current & Past Employments

BRAUER & ASSOCIATES, INC.·CRD# 18278

BD

St. Petersburg, FL

April 12, 1994 - October 19, 1995

BOSTON ASSET MANAGEMENT, INC.·CRD# 112768

RIA

Clearwater, FL

February 3, 1993 - March 31, 2025

BRAUER & ASSOCIATES, INC.·CRD# 18278

BD

St. Petersburg, FL

September 11, 1990 - September 30, 1992

CITIGROUP GLOBAL MARKETS INC.·CRD# 7059

BD

New York, NY

March 4, 1987 - August 1, 1990

FIRST JERSEY SECURITIES, INC.·CRD# 6621

BD

March 23, 1981 - January 27, 1987

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Current Firm

B&

BRAUER & ASSOCIATES, INC.

BRAUER & ASSOCIATES, INC.

CRD#: 18278 / SEC#: 8-36375

BD

Terminated by SEC on 03/21/1999

Contact Information

Established

Florida since 06/05/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

1. Boston Settlement Group; Non Investment-Related; Clearwater, FL; Lien Resolution; Managing Member; 7/2004; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 2. Austin Colby Company; Non Investment-Related; Clearwater, FL; Administrative and support services; Director; 4/1995; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 3. The Colby Company; Investment-Related; Clearwater, FL; Insurance; Managing Member; 1/2009; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 4. Broadleaf Property Management; Investment-Related; Clearwater, FL; Property Management; Managing Member; 10/2008; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 5. Boston Finance Group, LLC; Non Investment-Related; Clearwater, FL; Financing; Managing Member; 2/2008; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 6. Broadleaf Forest Management LLC; Non Investment-Related; Clearwater, FL; Consulting; Managing Member; 9/2011; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 7. Directed Benefits Foundation Inc; Non Investment-Related; Clearwater, FL; Foundation Management; Managing Member; 6/2013; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 8. Boston Capital Leasing LLC; Non Investment-Related, Clearwater, FL; Financing; Managing Member; 2/2013; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 9. Seaboard Craft Beer Holdings LLC; Non Investment-Related; Clearwater, FL; Financing; Managing Member; 3/2013; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 10. Seaboard Manufacturing LLC; Non Investment-Related; Clearwater, FL; Manufacturing; Managing Member; 12/2012; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 11. The Center for Settlement Consultants LLC; Non Investment-Related; Clearwater, FL; Consulting; 2/2011; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none. 12. Brand Activators LLC; Non Investment-Related; Clearwater, FL; Video Production; Managing Member; 05/2013; 0 hrs/mo; 0 hrs/mo during securities trading hours; Duties are none.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1981About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 1981About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 1984About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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LG

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